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 1 Feb 2022)
    • Responsible for Insurance Distribution (since 1 Feb 2022)
    • SMF16 Compliance Oversight (since 1 Feb 2022)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Feb 2022)
    • SMF3 Executive Director (since 1 Feb 2022)
    • [FCA CF] Client dealing (since 1 Feb 2022)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 24 Jan 2022)
    • CF4 Partner (AR) (12 Apr 2017 to 24 Jan 2022)
    • CF30 Customer (1 Oct 2014 to 24 Jan 2022)
  • Retsol Financial Services LLP (no longer approved here)

    FRN 456855

    • Employed By (12 Apr 2017 to 24 Jan 2022)
  • LEBC Group Ltd (no longer approved here)

    FRN 191818

    • Employed By (1 Oct 2014 to 13 Apr 2017)

Recent activity

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

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