Last updated
2 weeks ago
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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)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 3 Jun 2025)
    • [FCA CF] Functions requiring qualifications (since 16 Jan 2020)
    • [FCA CF] Significant management (since 16 Jan 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF1 Director (18 May 2012 to 8 Dec 2019)
    • CF10 Compliance Oversight (18 May 2012 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (18 May 2012 to 8 Dec 2019)
    • CF30 Customer (18 May 2012 to 8 Dec 2019)
    • Responsible for Insurance Mediation (18 May 2012 to 30 Sep 2018)
  • LOGICAL FINANCIAL PLANNING LIMITED (no longer approved here)

    FRN 479501

    • CF30 Customer (17 Jul 2015 to 4 Mar 2019)
  • True Potential Wealth Management LLP (no longer approved here)

    FRN 529810

    • CF30 Customer (10 Feb 2012 to 14 Jun 2012)
  • Honister Partners Ltd (no longer approved here)

    FRN 502699

    • Employed By (23 Jun 2009 to 24 Dec 2009)
  • Makemson & Company Limited (no longer approved here)

    FRN 222287

    • CF30 Customer (1 Nov 2007 to 5 Nov 2007)
    • CF22 Investment Adviser (Trainee) (20 Jul 2007 to 31 Oct 2007)
  • Hugh James Solicitors (no longer approved here)

    FRN 231167

    • CF22 Investment Adviser (Trainee) (30 Jan 2007 to 21 May 2007)
  • TenetConnect Services Limited (no longer approved here)

    FRN 150643

    • CF22 Investment Adviser (Trainee) (6 Jul 2005 to 17 May 2006)
  • Sterling Asset Management (no longer approved here)

    FRN 200395

    • (8)Employed By (6 Jul 2005 to 17 May 2006)

Recent activity

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

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