Last updated
1 week ago
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Where they hold approval

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

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 22 Mar 2024)
    • [FCA CF] Client dealing (since 22 Mar 2024)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • Appointed representative dealing with clients for which they require qualification (22 Jun 2021 to 24 Jun 2022)
    • CF30 Customer (10 Jun 2021 to 24 Jun 2022)
  • Douglas Rowe Financial Services Limited (no longer approved here)

    FRN 758723

    • (1)Employed By (10 Jun 2021 to 24 Jun 2022)
  • HSBC UK Bank Plc (no longer approved here)

    FRN 765112

    • [FCA CF] Functions requiring qualifications (5 Sep 2018 to 6 Apr 2021)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF30 Customer (1 Apr 2015 to 6 Mar 2016)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (1 Nov 2007 to 30 Nov 2014)
    • CF21 Investment Adviser (10 Dec 2004 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (2 Dec 2003 to 10 Dec 2004)
  • BA (GI) Limited (no longer approved here)

    FRN 117647

    • CF21 Investment Adviser (1 Dec 2001 to 1 Aug 2002)

Recent activity

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

No changes recorded yet.