Where they hold approval

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

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF30 Customer (since 8 Jan 2019)
    • (6)Employed By (since 8 Jan 2019)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF30 Customer (1 Nov 2007 to 2 Apr 2014)
    • CF21 Investment Adviser (23 Feb 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (7 Jun 2005 to 23 Feb 2006)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (9 Mar 2004 to 3 Jun 2005)
    • CF22 Investment Adviser (Trainee) (23 Dec 2003 to 9 Mar 2004)
  • 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.