Where they hold approval

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

    • 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
    • [FCA CF] Client dealing (since 13 May 2024)
    • [FCA CF] Functions requiring qualifications (since 13 May 2024)
  • AFH Independent Financial Services Limited (no longer approved here)

    FRN 216704

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 23 Jan 2024)
    • [FCA CF] Client dealing (9 Dec 2019 to 23 Jan 2024)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (18 Dec 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (20 Mar 2006 to 18 Dec 2006)

Recent activity

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

No changes recorded yet.