Where they hold approval

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

  • ST. JAMES'S PLACE INVESTMENT MANAGEMENT LIMITED (no longer approved here)

    FRN 155241

    • CF2 Non Executive Director (25 Nov 2009 to 16 Apr 2010)
    • CF10 Compliance Oversight (22 May 2009 to 26 May 2010)
    • CF8 Apportionment and Oversight (21 Sep 2006 to 5 Mar 2007)
    • CF3 Chief Executive (21 Sep 2006 to 5 Mar 2007)
    • CF1 Director (18 Apr 2006 to 5 Mar 2007)
  • Dowgate Capital Limited (no longer approved here)

    FRN 146274

    • CF10 Compliance Oversight (12 Aug 2009 to 26 May 2010)
    • CF30 Customer (12 Aug 2009 to 26 May 2010)
    • CF1 Director (12 Aug 2009 to 26 May 2010)
  • Northland Capital Partners Limited (no longer approved here)

    FRN 155200

    • CF30 Customer (12 Aug 2009 to 26 May 2010)
    • CF10 Compliance Oversight (22 May 2009 to 26 May 2010)
    • CF1 Director (7 May 2009 to 26 May 2010)
    • CF3 Chief Executive (18 Oct 2006 to 5 Mar 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 29 Jun 2007)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 1 Jul 2004)

Recent activity

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

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