Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Functions requiring qualifications (since 23 Jan 2023)
    • Responsible for Insurance Distribution (since 23 Jan 2023)
    • SMF16 Compliance Oversight (since 23 Jan 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 23 Jan 2023)
    • SMF3 Executive Director (since 23 Jan 2023)
    • [FCA CF] Client dealing (since 23 Jan 2023)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 20 Jan 2023)
    • CF1 Director (AR) (4 Sep 2012 to 20 Jan 2023)
    • CF30 Customer (4 Sep 2012 to 20 Jan 2023)
  • Robinson Investment Solutions Ltd (no longer approved here)

    FRN 518668

    • Employed By (2 Mar 2010 to 2 Jul 2012)
  • Royal London Unit Trust Managers Limited (no longer approved here)

    FRN 144037

    • CF21 Investment Adviser (11 Nov 2002 to 10 Mar 2003)
  • Royal London Mutual Insurance Society, Limited (THE) (no longer approved here)

    FRN 117672

    • CF21 Investment Adviser (1 Dec 2001 to 10 Mar 2003)
  • Royal London Savings Limited (no longer approved here)

    FRN 191237

    • CF21 Investment Adviser (1 Dec 2001 to 10 Mar 2003)

Recent activity

Updates to this individual's record on the FCA register.

No changes recorded yet.