Where they hold approval

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

    • 9A. Advising on P2P agreements
    • 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
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Client dealing (since 1 Apr 2025)
    • Appointed representative dealing with clients for which they require qualification (since 1 Apr 2025)
    • CF30 Customer (since 17 Mar 2025)
    • (4)Employed By (since 17 Mar 2025)
  • J & E Davy (UK) Limited (no longer approved here)

    FRN 172140

    • [FCA CF] Client dealing (9 Dec 2019 to 16 Apr 2024)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 16 Apr 2024)
    • CF30 Customer (1 Nov 2017 to 8 Dec 2019)
  • Northern Bank Limited (no longer approved here)

    FRN 122261

    • CF30 Customer (22 Jan 2010 to 18 Nov 2012)
    • CF21 Investment Adviser (11 Apr 2006 to 31 Oct 2007)

Recent activity

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

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