Where they hold approval

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

    • 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)
  • M&G ADVICE PARTNERS LIMITED (no longer approved here)

    FRN 584256

    • CF30 Customer (9 Sep 2013 to 8 Dec 2019)
  • Prudential Distribution Limited (no longer approved here)

    FRN 194709

    • CF30 Customer (3 Sep 2012 to 9 Sep 2013)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (8 Nov 2010 to 31 Aug 2012)
  • David Allen Financial Services (Dalston) Limited (no longer approved here)

    FRN 506138

    • CF30 Customer (9 Nov 2009 to 31 Oct 2010)
    • CF1 Director (9 Nov 2009 to 31 Oct 2010)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (1 Nov 2007 to 18 Aug 2009)
    • CF22 Investment Adviser (Trainee) (14 May 2007 to 31 Oct 2007)
  • Clydesdale Bank Plc (no longer approved here)

    FRN 121873

    • 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.