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 2 Jan 2025)
    • [FCA CF] Client dealing (since 2 Jan 2025)
    • [FCA CF] Client dealing (1 Mar 2020 to 31 Dec 2021)
    • [FCA CF] Functions requiring qualifications (1 Mar 2020 to 31 Dec 2021)
    • CF30 Customer (6 Jun 2016 to 8 Dec 2019)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (1 Nov 2007 to 28 Dec 2012)
    • CF21 Investment Adviser (23 Feb 2005 to 6 Apr 2006)
  • Scottish Widows Unit Trust Managers Limited (no longer approved here)

    FRN 122129

    • CF21 Investment Adviser (23 Jan 2007 to 30 Jun 2007)
    • CF22 Investment Adviser (Trainee) (6 Apr 2006 to 23 Jan 2007)

Recent activity

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

No changes recorded yet.