Where they hold approval

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

    • Employed By (since 7 Nov 2022)
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 9A. Advising on P2P agreements
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (since 4 Jan 2019)
  • Waterhouse Financial Planning Limited (no longer approved here)

    FRN 828696

    • Employed By (4 Jan 2019 to 18 Nov 2022)
  • Doherty Pension & Investment Consultancy Limited (no longer approved here)

    FRN 186761

    • CF30 Customer (1 Nov 2007 to 22 May 2015)
    • CF21 Investment Adviser (12 May 2004 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 12 May 2004)

Recent activity

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

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