Where they hold approval

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

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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] Functions requiring qualifications (since 10 Jul 2023)
    • [FCA CF] Client dealing (since 10 Jul 2023)
    • CF30 Customer (5 Nov 2010 to 18 Jul 2011)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (1 Nov 2007 to 29 Nov 2010)
    • CF21 Investment Adviser (20 Nov 2003 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (16 May 2003 to 20 Nov 2003)
  • BA (GI) Limited (no longer approved here)

    FRN 117647

    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 1 Aug 2002)
    • CF21 Investment Adviser (1 Dec 2001 to 6 Jun 2002)

Recent activity

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

No changes recorded yet.