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 20 Aug 2024)
    • [FCA CF] Client dealing (since 20 Aug 2024)
    • 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] Client dealing (since 20 Aug 2024)
    • [FCA CF] Functions requiring qualifications (since 20 Aug 2024)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (4 Nov 2023 to 24 Jul 2024)
    • Appointed representative dealing with clients for which they require qualification (19 Jun 2023 to 24 Jul 2024)
  • Emerald Financial Associates Ltd (no longer approved here)

    FRN 476438

    • (6)Employed By (4 Nov 2023 to 24 Jul 2024)
  • LONDON & COUNTRY MORTGAGES LIMITED (no longer approved here)

    FRN 143002

    • [FCA CF] Manager of certification employee (4 Mar 2021 to 18 Jun 2023)

Recent activity

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

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