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 24 Jan 2025)
    • [FCA CF] Client dealing (since 24 Jan 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 31 Jan 2025)
    • CF30 Customer (5 Oct 2015 to 31 Jan 2025)
  • TrinityBridge Limited (no longer approved here)

    FRN 119329

    • CF30 Customer (10 Jul 2012 to 9 Jul 2015)
  • Personal Touch Financial Services Limited (no longer approved here)

    FRN 187834

    • CF30 Customer (3 May 2011 to 30 Apr 2012)
  • Stonebridge Mortgage Solutions Ltd (no longer approved here)

    FRN 454811

    • CF30 Customer (1 Nov 2007 to 22 Oct 2011)
    • CF24 Pension Transfer Specialist (15 Jun 2007 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.