Where they hold approval

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

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 19. Administrative functions in relation to the operation of stakeholder pension schemes
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 8. Giving personal recommendations on investments in the course of corporate finance business
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 14. Managing investments
    • 17. Administrative functions in relation to managing investments
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • [FCA CF] Functions requiring qualifications (since 25 Jan 2023)
    • CF30 Customer (1 Feb 2016 to 8 Dec 2019)
  • Responsible Life Limited (no longer approved here)

    FRN 610205

    • [FCA CF] Functions requiring qualifications (1 Feb 2021 to 3 Feb 2023)
  • REGAL INDEPENDENT FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 615267

    • CF30 Customer (7 Apr 2014 to 14 Jan 2016)
  • TenetConnect Services Limited (no longer approved here)

    FRN 150643

    • CF30 Customer (1 Nov 2007 to 13 Sep 2012)
    • CF21 Investment Adviser (4 Oct 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (25 Feb 2005 to 4 Oct 2006)
  • Regal Independent Financial Services Ltd (no longer approved here)

    FRN 403177

    • (9)Employed By (25 Feb 2005 to 14 Apr 2014)
  • Royal London Unit Trust Managers Limited (no longer approved here)

    FRN 144037

    • CF21 Investment Adviser (11 Nov 2002 to 8 Sep 2004)
  • Royal London Mutual Insurance Society, Limited (THE) (no longer approved here)

    FRN 117672

    • CF21 Investment Adviser (1 Dec 2001 to 8 Sep 2004)
  • Royal London Savings Limited (no longer approved here)

    FRN 191237

    • CF21 Investment Adviser (1 Dec 2001 to 8 Sep 2004)

Recent activity

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

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