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 (3 Jun 2017 to 8 Dec 2019)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF30 Customer (28 Oct 2011 to 22 Feb 2012)
  • Quilter Financial Advisers Ltd (no longer approved here)

    FRN 452529

    • (250)Employed By (28 Oct 2011 to 22 Feb 2012)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF30 Customer (22 Jan 2010 to 31 Jul 2011)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (1 Nov 2007 to 11 Dec 2009)
    • CF21 Investment Adviser (17 Sep 2007 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.