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
    • [FCA CF] Client dealing (since 6 Jul 2022)
    • [FCA CF] Functions requiring qualifications (since 6 Jul 2022)
    • CF30 Customer (30 Apr 2010 to 31 Oct 2019)
  • ASCOT LLOYD FINANCIAL PLANNING LIMITED (no longer approved here)

    FRN 144519

    • [FCA CF] Client dealing (9 Dec 2019 to 15 Jun 2022)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 15 Jun 2022)
    • CF30 Customer (30 Nov 2019 to 8 Dec 2019)
  • ABERDEEN PLATFORM LIMITED (no longer approved here)

    FRN 188796

    • CF22 Investment Adviser (Trainee) (11 Dec 2001 to 31 Jul 2002)

Recent activity

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

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