Last updated
2 weeks ago
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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] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (15 Aug 2019 to 8 Dec 2019)
    • 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] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (20 Jun 2013 to 8 Dec 2019)
    • 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 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (20 Jun 2013 to 8 Dec 2019)
  • Clydesdale Bank Plc (no longer approved here)

    FRN 121873

    • CF21 Investment Adviser (2 Feb 2007 to 30 Jun 2007)
    • CF22 Investment Adviser (Trainee) (18 Oct 2006 to 2 Feb 2007)
  • Coutts & Company (no longer approved here)

    FRN 122287

    • CF22 Investment Adviser (Trainee) (13 Jul 2004 to 10 Mar 2006)

Recent activity

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

No changes recorded yet.