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
    • 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] Functions requiring qualifications (since 22 Apr 2025)
    • [FCA CF] Client dealing (since 22 Apr 2025)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 17 Apr 2025)
    • CF30 Customer (30 Aug 2018 to 17 Apr 2025)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (31 Dec 2012 to 5 Nov 2014)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (5 Feb 2008 to 11 Nov 2012)

Recent activity

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

No changes recorded yet.