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 14 Feb 2020)
    • [FCA CF] Client dealing (since 14 Feb 2020)
    • CF30 Customer (21 Feb 2017 to 8 Dec 2019)
  • DA Financial Services (Dalston) Limited (no longer approved here)

    FRN 200402

    • Employed By (8 Jul 2015 to 30 Nov 2016)
  • Legal and General Assurance Society Limited (no longer approved here)

    FRN 117659

    • CF22 Investment Adviser (Trainee) (18 Aug 2006 to 29 Oct 2007)
  • Legal & General (Unit Trust Managers) Limited (no longer approved here)

    FRN 119273

    • CF22 Investment Adviser (Trainee) (18 Aug 2006 to 29 Oct 2007)

Recent activity

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

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