Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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St. James's Place Wealth Management Plc
FRN 195351
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
- CF30 Customer (since 1 Nov 2007)
- CF1 Director (AR) (since 22 Mar 2007)
- CF4 Partner (AR) (12 Jan 2005 to 22 Mar 2007)
- CF21 Investment Adviser (9 Jul 2004 to 31 Oct 2007)
- CF22 Investment Adviser (Trainee) (31 Mar 2004 to 9 Jul 2004)
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Towcester Financial Planning Ltd
FRN 416693
- (3)Employed By (since 5 Jan 2005)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.