Where they hold approval

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

    • [FCA CF] Significant management (since 10 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF27 Investment Management (28 Oct 2003 to 31 Oct 2007)
    • CF3 Chief Executive (13 Oct 2003 to 8 Dec 2019)
    • CF1 Director (13 Oct 2003 to 8 Dec 2019)
    • CF21 Investment Adviser (13 Oct 2003 to 31 Oct 2007)
    • CF26 Customer Trading (13 Oct 2003 to 28 Oct 2003)
    • CF8 Apportionment and Oversight (13 Oct 2003 to 31 Oct 2007)
  • Tradition (UK) Limited (no longer approved here)

    FRN 139200

    • CF21 Investment Adviser (1 Dec 2001 to 10 Oct 2003)
    • CF26 Customer Trading (1 Dec 2001 to 13 Oct 2003)

Recent activity

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

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