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] Manager of certification employee (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF1 Director (18 Jan 2010 to 8 Dec 2019)
    • CF30 Customer (18 Jan 2010 to 8 Dec 2019)
  • INTELLIGENT PENSIONS LIMITED (no longer approved here)

    FRN 186250

    • CF30 Customer (1 Nov 2007 to 13 Nov 2009)
    • CF21 Investment Adviser (23 Jul 2002 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 23 Jul 2002)

Recent activity

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

No changes recorded yet.