Where they hold approval

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

    • 3. Giving personal recommendations on derivatives
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 13. Giving personal recommendations on and dealing with derivatives
    • 14. Managing investments
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Functions requiring qualifications (since 8 Mar 2021)
    • [FCA CF] Algorithmic trading (since 8 Mar 2021)
    • [FCA CF] Client dealing (since 8 Mar 2021)
    • CF4 Partner (24 Jun 2015 to 31 Dec 2016)
    • CF30 Customer (24 Jun 2015 to 8 Dec 2019)
  • Phoenix Life Limited (no longer approved here)

    FRN 110418

    • CF22 Investment Adviser (Trainee) (11 Apr 2002 to 11 Oct 2002)
  • Columbia Threadneedle Fund Management Limited (no longer approved here)

    FRN 121940

    • CF22 Investment Adviser (Trainee) (5 Apr 2002 to 1 Jul 2002)

Recent activity

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

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