Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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- 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)
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- [FCA CF] Client dealing (22 Sep 2022 to 30 Oct 2024)
- [FCA CF] Functions requiring qualifications (22 Sep 2022 to 30 Oct 2024)
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- [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)
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- CF30 Customer (15 May 2013 to 19 Aug 2013)
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- CF30 Customer (14 Dec 2010 to 30 Apr 2012)
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- CF30 Customer (5 Dec 2007 to 12 Sep 2008)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.