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 23 Dec 2022)
    • [FCA CF] Client dealing (since 23 Dec 2022)
  • MARSHALL PENSION & FINANCIAL PLANNING LTD (no longer approved here)

    FRN 781168

    • [FCA CF] Client dealing (9 Dec 2019 to 30 Jun 2023)
    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 30 Jun 2023)
    • CF1 Director (AR) (22 Feb 2019 to 17 Aug 2023)
    • CF30 Customer (22 Feb 2019 to 17 Aug 2023)
  • 2 Plan Wealth Management Limited (no longer approved here)

    FRN 461598

    • CF1 Director (AR) (4 Feb 2019 to 7 Feb 2019)
    • CF30 Customer (4 Feb 2019 to 7 Feb 2019)
  • Flying Colours Advice Limited (no longer approved here)

    FRN 672022

    • CF30 Customer (20 Feb 2018 to 21 Dec 2018)
    • CF1 Director (AR) (20 Feb 2018 to 21 Dec 2018)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (11 Feb 2016 to 23 Feb 2017)
  • Origen Financial Services Limited (no longer approved here)

    FRN 192666

    • CF21 Investment Adviser (27 Dec 2006 to 16 May 2007)
    • CF22 Investment Adviser (Trainee) (10 Mar 2006 to 27 Dec 2006)

Recent activity

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

No changes recorded yet.