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)
    • Appointed representative dealing with clients for which they require qualification (since 1 Sep 2025)
    • CF1 Director (AR) (since 29 Aug 2025)
    • CF30 Customer (since 8 Jul 2022)
    • Appointed representative dealing with clients for which they require qualification (8 Jul 2022 to 31 Aug 2025)
    • (1)Employed By (since 29 Aug 2025)
  • Brompton Asset Finance Limited (no longer approved here)

    FRN 727308

    • CF1 Director (AR) (12 Jul 2022 to 11 Nov 2024)
  • 3DMT LTD (no longer approved here)

    FRN 912769

    • (1)Employed By (12 Jul 2022 to 11 Nov 2024)
  • Castle Wealth Ltd (no longer approved here)

    FRN 588656

    • Employed By (11 Aug 2017 to 8 Apr 2022)
  • Fisher Investments Europe Limited (no longer approved here)

    FRN 191609

    • CF30 Customer (6 Sep 2016 to 15 Mar 2017)
  • Wealth At Work Limited (no longer approved here)

    FRN 417367

    • CF30 Customer (12 Sep 2012 to 5 Jul 2016)
  • 2 Plan Wealth Management Limited (no longer approved here)

    FRN 461598

    • CF30 Customer (26 May 2011 to 3 Sep 2012)

Recent activity

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

  1. controlled function removed: Employed By at 3DMT LTD

  2. controlled function added: (1)Employed By at 3DMT LTD