Where they hold approval

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

    • 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
    • [FCA CF] Client dealing (since 1 Mar 2021)
    • [FCA CF] Functions requiring qualifications (since 1 Mar 2021)
    • Responsible for Insurance Distribution (since 1 Apr 2020)
    • SMF3 Executive Director (since 1 Apr 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Apr 2020)
    • SMF16 Compliance Oversight (since 1 Apr 2020)
  • The Tavistock Partnership Limited (no longer approved here)

    FRN 519014

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 31 Mar 2020)
    • CF30 Customer (29 Mar 2017 to 30 Mar 2020)
    • CF1 Director (AR) (29 Mar 2017 to 30 Mar 2020)
  • Bright Cube Money Limited (no longer approved here)

    FRN 584054

    • Employed By (11 Jul 2012 to 30 Mar 2020)
  • Ablestoke Financial Planning LLP (no longer approved here)

    FRN 574544

    • (12)Employed By (21 Mar 2012 to 9 Jul 2012)
  • Ablestoke Ltd (no longer approved here)

    FRN 493976

    • Employed By (28 Jan 2010 to 30 Mar 2020)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF30 Customer (1 Nov 2007 to 3 Jan 2008)
    • CF22 Investment Adviser (Trainee) (23 May 2007 to 31 Oct 2007)
  • Aviva Administration Limited (no longer approved here)

    FRN 185746

    • CF22 Investment Adviser (Trainee) (10 Nov 2005 to 16 Jan 2006)

Recent activity

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

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