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
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • SMF16 Compliance Oversight (since 16 Apr 2021)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF1 Director (20 Aug 2019 to 8 Dec 2019)
    • CF30 Customer (16 Jan 2009 to 6 Dec 2012)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF30 Customer (8 May 2008 to 15 Oct 2008)

Recent activity

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

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