Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- 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
- 21. Advising or arranging (bringing about) equity release transactions
- [FCA CF] Functions requiring qualifications (since 2 Jul 2020)
- [FCA CF] Client dealing (since 2 Jul 2020)
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- CF30 Customer (9 Sep 2013 to 8 Dec 2019)
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- CF30 Customer (3 Sep 2012 to 9 Sep 2013)
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- CF30 Customer (8 Nov 2010 to 31 Aug 2012)
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- CF30 Customer (9 Nov 2009 to 31 Oct 2010)
- CF1 Director (9 Nov 2009 to 31 Oct 2010)
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- CF30 Customer (1 Nov 2007 to 18 Aug 2009)
- CF22 Investment Adviser (Trainee) (14 May 2007 to 31 Oct 2007)
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- CF22 Investment Adviser (Trainee) (28 Dec 2005 to 31 Dec 2005)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.