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
    • [FCA CF] Functions requiring qualifications (since 2 Jan 2020)
    • [FCA CF] Client dealing (since 2 Jan 2020)
    • CF30 Customer (1 Sep 2015 to 8 Dec 2019)
  • HQN Financial Management Limited (no longer approved here)

    FRN 431467

    • CF30 Customer (29 Oct 2014 to 25 Nov 2016)
  • Nationwide Building Society (no longer approved here)

    FRN 106078

    • CF30 Customer (12 Jan 2011 to 22 Aug 2011)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (1 Nov 2007 to 26 Dec 2007)
    • CF22 Investment Adviser (Trainee) (17 Sep 2007 to 31 Oct 2007)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (1 Dec 2001 to 28 Oct 2005)

Recent activity

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

No changes recorded yet.