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
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (9 Jan 2013 to 8 Dec 2019)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (1 Nov 2007 to 19 Apr 2013)
    • CF21 Investment Adviser (4 Jul 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (27 Apr 2007 to 4 Jul 2007)
  • Personal Touch Financial Services Limited (no longer approved here)

    FRN 187834

    • CF21 Investment Adviser (5 Apr 2007 to 14 May 2007)
    • CF22 Investment Adviser (Trainee) (12 Oct 2006 to 11 Apr 2007)
  • Shires Financial Management Ltd (no longer approved here)

    FRN 408118

    • (3)Employed By (12 Oct 2006 to 14 May 2007)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF22 Investment Adviser (Trainee) (27 Jan 2003 to 9 Sep 2004)
  • Royal London Unit Trust Managers Limited (no longer approved here)

    FRN 144037

    • CF21 Investment Adviser (11 Nov 2002 to 19 Dec 2002)
  • Royal London Mutual Insurance Society, Limited (THE) (no longer approved here)

    FRN 117672

    • CF21 Investment Adviser (1 Dec 2001 to 19 Dec 2002)
  • Royal London Savings Limited (no longer approved here)

    FRN 191237

    • CF21 Investment Adviser (1 Dec 2001 to 19 Dec 2002)

Recent activity

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

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