Where they hold approval

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

    • 8. Giving personal recommendations on investments in the course of corporate finance business
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • Responsibility for MCD Intermediation (since 28 Jan 2022)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (30 Mar 2017 to 8 Dec 2019)
    • CF1 Director (30 Mar 2017 to 8 Dec 2019)
    • CF10 Compliance Oversight (30 Mar 2017 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (30 Mar 2017 to 8 Dec 2019)
    • Responsible for Insurance Mediation (30 Mar 2017 to 30 Sep 2018)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (22 Sep 2014 to 12 Jan 2017)
    • CF1 Director (AR) (22 Sep 2014 to 12 Jan 2017)
  • PRICE FERGUSON LIMITED (no longer approved here)

    FRN 424784

    • CF30 Customer (4 Mar 2009 to 23 Dec 2010)
    • CF1 Director (AR) (4 Mar 2009 to 23 Dec 2010)
  • W1M Wealth Management Limited (no longer approved here)

    FRN 120776

    • CF30 Customer (1 Nov 2007 to 5 Jun 2008)
    • CF21 Investment Adviser (26 Nov 2003 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.