Where they hold approval

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

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or 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)
    • 8. Giving personal recommendations on investments in the course of corporate finance business
    • 12. Giving personal recommendations on and dealing in 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
    • [FCA CF] Functions requiring qualifications (since 28 Jun 2021)
    • [FCA CF] Client dealing (since 28 Jun 2021)
  • Openwork Limited (no longer approved here)

    FRN 408285

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 30 Jun 2021)
    • CF30 Customer (9 Mar 2018 to 30 Jun 2021)
  • Ten Financial LLP (no longer approved here)

    FRN 688787

    • (1)Employed By (9 Mar 2018 to 30 Jun 2021)

Recent activity

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

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