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
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (4 Sep 2012 to 8 Dec 2019)
  • Legal and General Assurance Society Limited (no longer approved here)

    FRN 117659

    • CF7 Sole Trader (AR) (1 Dec 2001 to 6 Aug 2004)
    • CF21 Investment Adviser (1 Dec 2001 to 6 Aug 2004)
  • Legal & General (Unit Trust Managers) Limited (no longer approved here)

    FRN 119273

    • CF21 Investment Adviser (1 Dec 2001 to 6 Aug 2004)
    • CF7 Sole Trader (AR) (1 Dec 2001 to 6 Aug 2004)

Recent activity

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

No changes recorded yet.