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] Manager of certification employee (since 10 Jan 2022)
    • [FCA CF] Functions requiring qualifications (since 15 Feb 2021)
    • [FCA CF] Client dealing (since 28 Jan 2021)
    • CF30 Customer (24 Jul 2017 to 8 Dec 2019)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF30 Customer (11 Dec 2014 to 6 Mar 2016)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (1 Nov 2007 to 11 Nov 2012)
    • CF22 Investment Adviser (Trainee) (17 Sep 2007 to 31 Oct 2007)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (10 Feb 2004 to 2 Jul 2004)
    • CF22 Investment Adviser (Trainee) (4 Feb 2003 to 10 Feb 2004)

Recent activity

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

No changes recorded yet.