Where they hold approval

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

    • 11. Pension transfer specialist
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF3 Executive Director (since 17 Feb 2023)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2019 to 8 Dec 2019)
  • Sovereign Wealth Limited (no longer approved here)

    FRN 471459

    • (48)Employed By (26 Aug 2016 to 6 Nov 2017)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (6 May 2014 to 30 Sep 2014)
  • Bright FS Ltd (no longer approved here)

    FRN 591589

    • Employed By (6 May 2014 to 30 Sep 2014)
  • Blevins Franks Financial Management Limited (no longer approved here)

    FRN 179731

    • CF30 Customer (25 Jul 2011 to 28 Mar 2014)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (28 Aug 2008 to 24 Mar 2011)

Recent activity

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

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