Last updated
3 weeks ago
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Where they hold approval

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

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF1 Director (AR) (since 4 Dec 2019)
    • CF30 Customer (since 16 Apr 2019)
    • (2)Employed By (since 16 Apr 2019)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF22 Investment Adviser (Trainee) (5 Jul 2007 to 31 Oct 2007)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF22 Investment Adviser (Trainee) (17 Jan 2006 to 8 Jun 2007)

Recent activity

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

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