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] Functions requiring qualifications (since 7 Mar 2016)
    • CF30 Customer (28 Nov 2012 to 6 Mar 2016)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF30 Customer (1 Nov 2007 to 3 Jan 2012)
    • CF21 Investment Adviser (24 May 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (19 Jul 2006 to 24 May 2007)
  • Nationwide Building Society (no longer approved here)

    FRN 106078

    • CF22 Investment Adviser (Trainee) (5 Sep 2005 to 3 Jan 2006)

Recent activity

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

No changes recorded yet.