Where they hold approval

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

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 9 Dec 2020)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF1 Director (AR) (1 Mar 2021 to 30 Sep 2023)
    • CF1 Director (2 Feb 2015 to 8 Dec 2019)
    • CF10 Compliance Oversight (2 Feb 2015 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (2 Feb 2015 to 8 Dec 2019)
    • CF30 Customer (2 Feb 2015 to 8 Dec 2019)
    • Responsible for Insurance Mediation (2 Feb 2015 to 30 Sep 2018)
  • QUILTER WEALTH LIMITED (no longer approved here)

    FRN 217742

    • CF1 Director (AR) (9 Apr 2013 to 5 Jan 2015)
    • CF30 Customer (9 Apr 2013 to 5 Jan 2015)
  • Quilter Financial Limited (no longer approved here)

    FRN 497604

    • CF30 Customer (7 Jul 2010 to 31 May 2013)
    • CF1 Director (AR) (7 Jul 2010 to 31 May 2013)
  • Concours Independent Ltd (no longer approved here)

    FRN 526556

    • Employed By (7 Jul 2010 to 31 Dec 2014)
  • Welbeck Consulting Limited (no longer approved here)

    FRN 216577

    • Employed By (23 Oct 2008 to 2 Jun 2010)
  • Openwork Limited (no longer approved here)

    FRN 408285

    • CF30 Customer (23 Oct 2008 to 2 Jun 2010)

Recent activity

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

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