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 9 Dec 2020)
    • [FCA CF] Client dealing (since 9 Dec 2020)
    • CF30 Customer (22 Jan 2016 to 8 Dec 2019)
  • Personal Touch Financial Services Limited (no longer approved here)

    FRN 187834

    • CF30 Customer (11 Jan 2012 to 26 Feb 2016)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF30 Customer (15 Aug 2008 to 29 Oct 2011)
    • CF21 Investment Adviser (1 Dec 2001 to 20 Jan 2006)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF30 Customer (28 Mar 2008 to 11 Jul 2008)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (1 Nov 2007 to 1 Mar 2008)
    • CF22 Investment Adviser (Trainee) (17 Sep 2007 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.