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 2025)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2025)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 3 Dec 2025)
    • [FCA CF] Client dealing (9 Dec 2019 to 3 Dec 2025)
    • CF30 Customer (18 May 2017 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 3 Dec 2025)
    • [FCA CF] Functions requiring qualifications (since 3 Dec 2025)
    • 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] Client dealing (since 3 Dec 2025)
    • [FCA CF] Functions requiring qualifications (since 3 Dec 2025)
    • 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 3 Dec 2025)
    • [FCA CF] Client dealing (since 3 Dec 2025)
    • 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] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (31 Mar 2016 to 8 Dec 2019)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (29 Apr 2014 to 22 Feb 2016)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF30 Customer (10 Aug 2011 to 21 Aug 2013)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF30 Customer (19 Mar 2009 to 13 Aug 2010)
  • Charles Derby (Home Counties) LLP (no longer approved here)

    FRN 451134

    • Employed By (19 Mar 2009 to 13 Aug 2010)

Recent activity

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

No changes recorded yet.