Where they hold approval

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

    • 21. Advising or arranging (bringing about) equity release transactions
    • 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)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 3. Giving personal recommendations on derivatives
    • 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
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Significant management (since 17 Aug 2021)
    • [FCA CF] Client dealing (since 17 Aug 2021)
    • [FCA CF] Functions requiring qualifications (since 17 Aug 2021)
    • [FCA CF] Manager of certification employee (since 17 Aug 2021)
    • SMF27 Partner (since 14 Jul 2021)
    • Responsibility for MCD Intermediation (since 14 Jul 2021)
    • Responsible for Insurance Distribution (since 14 Jul 2021)
    • SMF16 Compliance Oversight (since 14 Jul 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 14 Jul 2021)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 8 Jul 2021)
    • CF4 Partner (AR) (1 Jul 2015 to 8 Jul 2021)
    • CF30 Customer (1 Jul 2015 to 8 Jul 2021)
  • Burrows & Foy Financial Services (no longer approved here)

    FRN 200234

    • Employed By (1 Jul 2015 to 8 Jul 2021)
  • Quilter Mortgage Planning Limited (no longer approved here)

    FRN 440718

    • CF4 Partner (AR) (1 Jul 2015 to 8 Jul 2021)

Recent activity

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

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