Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

    • 14. Managing investments
    • 8. Giving personal recommendations on investments in the course of corporate finance business
    • 3. Giving personal recommendations on derivatives
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 13. Giving personal recommendations on and dealing with derivatives
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (3 May 2017 to 8 Dec 2019)
  • Waystone Management (UK) Limited (no longer approved here)

    FRN 429093

    • CF30 Customer (20 Dec 2016 to 28 Apr 2017)
  • Sapia Partners LLP (no longer approved here)

    FRN 550103

    • CF30 Customer (20 Dec 2016 to 3 May 2017)
  • Citibank, N.A. (no longer approved here)

    FRN 124704

    • CF30 Customer (1 Nov 2007 to 12 Dec 2011)
    • CF27 Investment Management (18 Mar 2003 to 31 Oct 2007)

Recent activity

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

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