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] Functions requiring qualifications (since 4 May 2021)
    • Responsible for Insurance Distribution (since 4 May 2021)
    • SMF16 Compliance Oversight (since 4 May 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 4 May 2021)
    • SMF3 Executive Director (since 4 May 2021)
    • [FCA CF] Client dealing (since 4 May 2021)
  • Best Practice IFA Group Limited (no longer approved here)

    FRN 223112

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 30 Apr 2021)
    • [FCA CF] Client dealing (9 Dec 2019 to 30 Apr 2021)
    • CF1 Director (AR) (6 Nov 2015 to 30 Apr 2021)
    • CF30 Customer (8 Sep 2009 to 30 Apr 2021)
  • Tailored Wealth & Trust Management Limited (no longer approved here)

    FRN 653438

    • Employed By (25 Nov 2014 to 30 Apr 2021)
  • First Complete Limited (no longer approved here)

    FRN 435779

    • CF1 Director (AR) (10 May 2010 to 17 Jun 2010)

Recent activity

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

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