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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [FCA CF] Client dealing (since 4 Nov 2024)
    • [FCA CF] Functions requiring qualifications (since 4 Nov 2024)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (11 Mar 2014 to 12 Sep 2014)
  • Lansdown Place Wealth Management Ltd (no longer approved here)

    FRN 434251

    • Employed By (11 Mar 2014 to 12 Sep 2014)
  • CLIFTON WEALTH LIMITED (no longer approved here)

    FRN 541564

    • Employed By (31 May 2013 to 6 Mar 2014)
  • CLIFTON CONSULTING LIMITED (no longer approved here)

    FRN 541544

    • Employed By (25 Apr 2011 to 6 Mar 2014)
  • Clifton Compliance Services Ltd (no longer approved here)

    FRN 480676

    • CF30 Customer (31 Jan 2011 to 6 Mar 2014)

Recent activity

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

No changes recorded yet.