Where they hold approval

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

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 9A. Advising on P2P agreements
    • 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
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF11 Money Laundering Reporting (11 Nov 2013 to 8 Dec 2019)
    • CF1 Director (11 Nov 2013 to 8 Dec 2019)
    • CF10 Compliance Oversight (11 Nov 2013 to 8 Dec 2019)
    • CF30 Customer (11 Nov 2013 to 8 Dec 2019)
    • Responsible for Insurance Mediation (11 Nov 2013 to 30 Sep 2018)
  • Beaufort Financial Planning (West Midlands) Limited (no longer approved here)

    FRN 211882

    • Employed By (29 Jan 2013 to 11 Nov 2013)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • CF30 Customer (1 Apr 2011 to 31 Dec 2012)

Recent activity

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

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