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
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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 3 Dec 2020)
    • [FCA CF] Client dealing (since 3 Dec 2020)
    • CF30 Customer (1 Mar 2017 to 8 Dec 2019)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (11 Aug 2015 to 18 Jul 2016)
  • Origen Financial Services Limited (no longer approved here)

    FRN 192666

    • CF30 Customer (8 Sep 2014 to 10 Jun 2015)
  • M&G ADVICE PARTNERS LIMITED (no longer approved here)

    FRN 584256

    • CF30 Customer (9 Sep 2013 to 23 May 2014)
  • Prudential Distribution Limited (no longer approved here)

    FRN 194709

    • CF30 Customer (8 May 2012 to 9 Sep 2013)
  • Fiducia Comprehensive Financial Planning Limited (no longer approved here)

    FRN 209570

    • (15)Employed By (26 Apr 2006 to 28 Sep 2006)
  • Openwork Limited (no longer approved here)

    FRN 408285

    • CF22 Investment Adviser (Trainee) (26 Apr 2006 to 28 Sep 2006)

Recent activity

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

No changes recorded yet.