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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [FCA CF] Client dealing (since 4 Nov 2024)
    • [FCA CF] Functions requiring qualifications (since 4 Nov 2024)
  • Ascot Lloyd Limited (no longer approved here)

    FRN 578614

    • [FCA CF] Functions requiring qualifications (17 Aug 2020 to 5 Apr 2021)
    • [FCA CF] Client dealing (17 Aug 2020 to 5 Apr 2021)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF21 Investment Adviser (3 Nov 2003 to 28 Jan 2005)
    • CF22 Investment Adviser (Trainee) (29 Jan 2003 to 3 Nov 2003)

Recent activity

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

No changes recorded yet.