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
    • 9A. Advising on P2P agreements
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • Director of firm who is not a certification employee or a SMF manager (since 11 Jun 2025)
    • Appointed representative dealing with clients for which they require qualification (since 11 Jun 2025)
    • CF30 Customer (since 6 Jun 2025)
    • CF1 Director (AR) (since 6 Jun 2025)
    • (1)Employed By (since 6 Jun 2025)
    • (2)Employed By (17 Jan 2019 to 19 May 2025)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 19 May 2025)
    • CF1 Director (AR) (17 Jan 2019 to 19 May 2025)
    • CF30 Customer (17 Jan 2019 to 19 May 2025)
  • TrinityBridge Limited (no longer approved here)

    FRN 119329

    • CF30 Customer (12 Oct 2011 to 16 May 2018)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF21 Investment Adviser (17 Mar 2006 to 28 Jul 2006)
    • CF22 Investment Adviser (Trainee) (3 Dec 2004 to 17 Mar 2006)

Recent activity

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

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