Where they hold approval

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

    • 10. Broker fund adviser
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 3. Giving personal recommendations on derivatives
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Functions requiring qualifications (since 23 Dec 2024)
    • [FCA CF] Client dealing (since 23 Dec 2024)
  • Oberon Investments Limited (no longer approved here)

    FRN 124885

    • [FCA CF] Client dealing (22 Sep 2022 to 30 Oct 2024)
    • [FCA CF] Functions requiring qualifications (22 Sep 2022 to 30 Oct 2024)
  • Redmayne-Bentley LLP (no longer approved here)

    FRN 499510

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 18 Aug 2022)
    • [FCA CF] Client dealing (9 Dec 2019 to 18 Aug 2022)
    • [FCA CF] Material risk taker (9 Dec 2019 to 18 Aug 2022)
    • CF30 Customer (11 Sep 2013 to 8 Dec 2019)
  • W H Ireland Limited (no longer approved here)

    FRN 140773

    • CF30 Customer (15 May 2013 to 19 Aug 2013)
  • Walker Crips Investment Management Limited (no longer approved here)

    FRN 226344

    • CF30 Customer (14 Dec 2010 to 30 Apr 2012)
  • ST. JAMES'S PLACE INVESTMENT MANAGEMENT LIMITED (no longer approved here)

    FRN 155241

    • CF30 Customer (5 Dec 2007 to 12 Sep 2008)

Recent activity

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

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