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)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (16 Oct 2006 to 31 Oct 2007)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF21 Investment Adviser (9 Nov 2004 to 9 Oct 2006)
    • CF22 Investment Adviser (Trainee) (5 Feb 2004 to 9 Nov 2004)
  • SKIPTON FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 100013

    • CF21 Investment Adviser (12 May 2003 to 31 Oct 2003)
  • WESLEYAN FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 134753

    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 2 Apr 2002)

Recent activity

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

No changes recorded yet.