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
    • 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)
    • [FCA CF] Functions requiring qualifications (since 5 Oct 2022)
    • [FCA CF] Client dealing (since 5 Oct 2022)
  • Legal and General Assurance Society Limited (no longer approved here)

    FRN 117659

    • CF22 Investment Adviser (Trainee) (13 Apr 2007 to 29 Oct 2007)
  • Legal & General (Unit Trust Managers) Limited (no longer approved here)

    FRN 119273

    • CF22 Investment Adviser (Trainee) (13 Apr 2007 to 29 Oct 2007)
  • PSA Financial Services Limited (no longer approved here)

    FRN 231108

    • CF21 Investment Adviser (4 Aug 2006 to 26 Feb 2007)
    • CF22 Investment Adviser (Trainee) (3 Aug 2004 to 4 Aug 2006)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (27 Jun 2002 to 2 Feb 2004)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 27 Jun 2002)

Recent activity

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

No changes recorded yet.