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
    • Appointed representative dealing with clients for which they require qualification (since 22 Jul 2024)
  • Quilter Mortgage Planning Limited (no longer approved here)

    FRN 440718

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 19 Jul 2024)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (1 Nov 2007 to 7 Jul 2008)
    • CF21 Investment Adviser (20 Sep 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (8 Jun 2006 to 20 Sep 2006)
  • Caroline Griffiths (no longer approved here)

    FRN 401793

    • Employed By (8 Jun 2006 to 7 Jul 2008)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF22 Investment Adviser (Trainee) (28 Sep 2004 to 28 Apr 2006)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF21 Investment Adviser (28 Jan 2002 to 26 Sep 2003)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 28 Jan 2002)
  • Santander ISA Managers Limited (no longer approved here)

    FRN 171448

    • CF21 Investment Adviser (28 Jan 2002 to 30 Aug 2002)

Recent activity

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

No changes recorded yet.