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 1 Jan 2020)
    • [FCA CF] Client dealing (since 1 Jan 2020)
    • Appointed representative dealing with clients for which they require qualification (since 1 Jan 2020)
    • CF30 Customer (since 23 Mar 2017)
    • (2)Employed By (since 23 Mar 2017)
  • Derwent Financial Management Limited (105) (no longer approved here)

    FRN 173342

    • Employed By (19 Nov 2004 to 23 Dec 2005)
  • Liverpool Victoria Financial Advice Services Limited (no longer approved here)

    FRN 186890

    • CF21 Investment Adviser (8 Jan 2002 to 22 Dec 2004)

Recent activity

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

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