Where they hold approval

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

    • 9A. Advising on P2P agreements
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 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)
    • Appointed representative dealing with clients for which they require qualification (since 19 Aug 2024)
    • CF30 Customer (since 19 Aug 2024)
    • [FCA CF] Client dealing (since 19 Aug 2024)
    • Employed By (since 19 Aug 2024)
  • Oak County Financial Services Ltd (no longer approved here)

    FRN 439104

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 29 Jun 2024)
    • CF30 Customer (3 Jun 2016 to 8 Dec 2019)
  • Foster Denovo Limited (no longer approved here)

    FRN 462728

    • CF30 Customer (6 Oct 2011 to 30 Dec 2011)
  • Johnson Gibbs (no longer approved here)

    FRN 176487

    • CF30 Customer (25 May 2010 to 11 Nov 2011)

Recent activity

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

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