Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [FCA CF] Functions requiring qualifications (since 10 Dec 2019)
    • [FCA CF] Client dealing (since 10 Dec 2019)
    • CF30 Customer (14 Feb 2014 to 8 Dec 2019)
    • CF21 Investment Adviser (8 Oct 2004 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (29 Jun 2004 to 8 Oct 2004)
  • The Olive Tree Financial Services Ltd (no longer approved here)

    FRN 227828

    • Employed By (15 Sep 2003 to 17 Sep 2004)
  • Valley Financial Services (no longer approved here)

    FRN 210733

    • Employed By (3 Apr 2002 to 10 Jun 2003)

Recent activity

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

No changes recorded yet.