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
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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 22 Apr 2025)
    • [FCA CF] Client dealing (since 22 Apr 2025)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 14 Apr 2025)
    • CF30 Customer (20 May 2011 to 8 Dec 2019)
  • Legal and General Assurance Society Limited (no longer approved here)

    FRN 117659

    • CF21 Investment Adviser (16 Jun 2006 to 29 Oct 2007)
    • CF22 Investment Adviser (Trainee) (6 May 2005 to 16 Jun 2006)
  • Legal & General (Unit Trust Managers) Limited (no longer approved here)

    FRN 119273

    • CF21 Investment Adviser (16 Jun 2006 to 29 Oct 2007)
    • CF22 Investment Adviser (Trainee) (6 May 2005 to 16 Jun 2006)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (5 Apr 2002 to 29 Apr 2005)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 5 Apr 2002)

Recent activity

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

No changes recorded yet.