Where they hold approval

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

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • SMF27 Partner (since 12 Jan 2026)
    • [FCA CF] Functions requiring qualifications (since 2 Jun 2025)
    • [FCA CF] Client dealing (since 9 Dec 2020)
    • CF30 Customer (13 Mar 2019 to 8 Dec 2019)
  • JEFFERIES INTERNATIONAL LIMITED (no longer approved here)

    FRN 139253

    • CF30 Customer (15 Nov 2011 to 19 Nov 2018)
  • Nomura International Plc (no longer approved here)

    FRN 124422

    • CF30 Customer (1 Nov 2007 to 31 Dec 2009)
    • CF21 Investment Adviser (4 May 2007 to 31 Oct 2007)
  • CLSA (UK) (no longer approved here)

    FRN 140836

    • CF21 Investment Adviser (1 Dec 2001 to 23 Jun 2003)

Recent activity

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

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