Where they hold approval

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

    • 21. Advising or arranging (bringing about) equity release transactions
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [FCA CF] Functions requiring qualifications (since 1 Aug 2025)
    • [FCA CF] Client dealing (since 1 Aug 2025)
  • Haven IFA Limited (no longer approved here)

    FRN 442847

    • [FCA CF] Client dealing (9 Dec 2019 to 31 Jul 2025)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Jul 2025)
    • CF30 Customer (25 May 2011 to 8 Dec 2019)
  • ELM TREE FINANCIAL SERVICES LTD (no longer approved here)

    FRN 511619

    • CF1 Director (29 Jan 2010 to 18 May 2011)
    • CF10 Compliance Oversight (29 Jan 2010 to 18 May 2011)
    • CF30 Customer (29 Jan 2010 to 18 May 2011)

Recent activity

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

No changes recorded yet.