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 3 Aug 2020)
    • Appointed representative dealing with clients for which they require qualification (since 3 Aug 2020)
    • CF1 Director (AR) (since 8 Jul 2020)
    • CF30 Customer (since 8 Jul 2020)
    • (2)Employed By (since 8 Jul 2020)
  • Nationwide Building Society (no longer approved here)

    FRN 106078

    • CF30 Customer (1 Nov 2007 to 29 Nov 2013)
    • CF21 Investment Adviser (14 Mar 2005 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (21 Nov 2003 to 14 Mar 2005)

Recent activity

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

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