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 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (23 Apr 2013 to 8 Dec 2019)
  • Quilter Financial Limited (no longer approved here)

    FRN 497604

    • CF30 Customer (2 Jan 2012 to 19 Apr 2013)
  • Moneytree Wealth Management Ltd (no longer approved here)

    FRN 537029

    • (11)Employed By (2 Jan 2012 to 19 Apr 2013)
  • Mark Gerard Yates (no longer approved here)

    FRN 215467

    • (2)Employed By (12 Mar 2010 to 30 Dec 2011)
  • Openwork Limited (no longer approved here)

    FRN 408285

    • CF30 Customer (5 Dec 2008 to 30 Dec 2011)
  • Park House Associates Ltd (no longer approved here)

    FRN 211587

    • (6)Employed By (11 Sep 2003 to 17 Nov 2004)

Recent activity

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

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