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
    • 11. Pension transfer specialist
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • SMF16 Compliance Oversight (since 30 May 2025)
    • Responsible for Insurance Distribution (since 30 May 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 30 May 2025)
    • SMF3 Executive Director (since 30 May 2025)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF3 Executive Director (21 Jun 2021 to 1 Jun 2023)
    • CF30 Customer (6 Sep 2019 to 8 Dec 2019)
  • Flying Colours Advice Limited (no longer approved here)

    FRN 672022

    • CF30 Customer (26 Jun 2018 to 24 Aug 2019)
  • HW Financial Services Limited (no longer approved here)

    FRN 134190

    • CF30 Customer (7 Oct 2016 to 18 Jun 2018)
  • Evelyn Partners Financial Planning Limited (no longer approved here)

    FRN 136414

    • CF30 Customer (20 May 2015 to 18 Jun 2018)

Recent activity

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

No changes recorded yet.