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 2 Apr 2024)
    • [FCA CF] Functions requiring qualifications (since 2 Apr 2024)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 28 Mar 2024)
    • CF30 Customer (10 Jun 2015 to 28 Mar 2024)
  • Radcliffe and Newlands Ltd (no longer approved here)

    FRN 457283

    • Employed By (3 Jun 2015 to 28 Mar 2024)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • CF30 Customer (10 Jan 2014 to 15 May 2015)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (1 Nov 2007 to 30 Sep 2013)
    • CF21 Investment Adviser (26 Mar 2003 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (21 Feb 2002 to 26 Mar 2003)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 5 Feb 2002)

Recent activity

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

No changes recorded yet.