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)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (1 Jun 2012 to 8 Dec 2019)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (12 Oct 2009 to 28 Feb 2012)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (31 Jul 2008 to 26 Aug 2009)
  • Countrywide Assured Financial Services (Introducer) (no longer approved here)

    FRN 158248

    • Employed By (16 Nov 2000 to 4 Jul 2002)

Recent activity

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

No changes recorded yet.