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.

    • 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 2 Jul 2020)
    • [FCA CF] Client dealing (since 2 Jul 2020)
  • M&G ADVICE PARTNERS LIMITED (no longer approved here)

    FRN 584256

    • CF30 Customer (9 Sep 2013 to 8 Dec 2019)
  • Prudential Distribution Limited (no longer approved here)

    FRN 194709

    • CF30 Customer (5 Mar 2013 to 9 Sep 2013)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (26 Mar 2009 to 11 Nov 2012)
  • Aviva Administration Limited (no longer approved here)

    FRN 185746

    • CF30 Customer (1 Nov 2007 to 25 Mar 2008)
    • CF21 Investment Adviser (21 Oct 2003 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (10 Feb 2003 to 21 Oct 2003)
  • Elevate Portfolio Services Limited (no longer approved here)

    FRN 144849

    • CF21 Investment Adviser (21 Oct 2003 to 31 Oct 2004)
    • CF22 Investment Adviser (Trainee) (10 Feb 2003 to 21 Oct 2003)
  • Birmingham Midshires Financial Services Limited (no longer approved here)

    FRN 169484

    • Employed By (10 Feb 2003 to 25 Mar 2008)

Recent activity

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

No changes recorded yet.