Last updated
3 weeks ago
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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] Client dealing (since 18 Aug 2022)
    • Appointed representative dealing with clients for which they require qualification (since 18 Aug 2022)
    • CF1 Director (AR) (since 23 May 2022)
    • CF30 Customer (since 23 May 2022)
    • [FCA CF] Functions requiring qualifications (18 Aug 2022 to 24 Jun 2024)
    • (3)Employed By (since 8 Jun 2022)
  • KPMG LLP (no longer approved here)

    FRN 210513

    • CF21 Investment Adviser (30 Apr 2002 to 27 Apr 2007)

Recent activity

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

  1. controlled function removed: Employed By at Ascent Financial Consulting Limited

  2. controlled function added: (3)Employed By at Ascent Financial Consulting Limited