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
    • Appointed representative dealing with clients for which they require qualification (since 1 Mar 2021)
    • CF1 Director (AR) (since 20 Jan 2021)
    • CF30 Customer (since 20 Jan 2021)
    • [FCA CF] Client dealing (28 Jul 2020 to 14 Feb 2021)
    • [FCA CF] Functions requiring qualifications (28 Jul 2020 to 14 Feb 2021)
    • CF30 Customer (6 May 2017 to 8 Dec 2019)
    • (1)Employed By (since 20 Jan 2021)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (14 Jul 2011 to 31 Jul 2012)
    • CF21 Investment Adviser (1 Dec 2001 to 1 Jun 2005)

Recent activity

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

No changes recorded yet.