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.

    • 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)
    • [FCA CF] Functions requiring qualifications (since 1 Jan 2021)
    • [FCA CF] Client dealing (since 1 Jan 2021)
  • Bowmore Financial Planning Limited (no longer approved here)

    FRN 115180

    • Director of firm who is not a certification employee or a SMF manager (28 Jan 2020 to 10 Jun 2020)
  • Rudolf Wolff Limited (no longer approved here)

    FRN 468022

    • CF30 Customer (14 May 2018 to 8 Dec 2019)
  • Chawker & Co Ltd (no longer approved here)

    FRN 550958

    • Employed By (8 Jun 2011 to 6 Jun 2018)
  • Coutts & Company (no longer approved here)

    FRN 122287

    • CF30 Customer (25 Jan 2008 to 24 Aug 2009)

Recent activity

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

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