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
    • 21. Advising or arranging (bringing about) equity release transactions
    • 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 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (1 Oct 2018 to 25 Nov 2019)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 25 Nov 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (17 Aug 2005 to 25 Nov 2019)
    • CF1 Director (17 Aug 2005 to 8 Dec 2019)
    • CF10 Compliance Oversight (17 Aug 2005 to 25 Nov 2019)
    • CF21 Investment Adviser (17 Aug 2005 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (17 Aug 2005 to 31 Mar 2009)
    • Responsible for Insurance Mediation (17 Aug 2005 to 30 Sep 2018)
  • MORTGAGE INTELLIGENCE LIMITED (no longer approved here)

    FRN 305330

    • CF7 Sole Trader (AR) (31 Oct 2004 to 5 Sep 2005)
  • The On-Line Partnership Limited (no longer approved here)

    FRN 192638

    • CF21 Investment Adviser (1 May 2002 to 3 Sep 2005)
    • CF4 Partner (AR) (1 May 2002 to 3 Sep 2005)

Recent activity

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

No changes recorded yet.