Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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- 4. Giving personal recommendations on retail investment products which are not broker funds
- 9A. Advising on P2P agreements
- [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
- [FCA CF] Client dealing (since 9 Dec 2020)
- SMF3 Executive Director (since 9 Dec 2019)
- CF30 Customer (1 Oct 2013 to 8 Dec 2019)
- CF1 Director (1 Oct 2013 to 8 Dec 2019)
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- CF30 Customer (23 Apr 2010 to 17 Aug 2012)
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- CF30 Customer (1 Nov 2007 to 1 Apr 2010)
- CF21 Investment Adviser (26 Feb 2003 to 31 Oct 2007)
- CF22 Investment Adviser (Trainee) (15 Nov 2002 to 26 Feb 2003)
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- (16)Employed By (15 Nov 2002 to 1 Apr 2010)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.