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 2 Feb 2026)
    • [FCA CF] Client dealing (since 2 Feb 2026)
    • 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 1 Jan 2020)
    • Appointed representative dealing with clients for which they require qualification (since 1 Jan 2020)
    • CF1 Director (AR) (since 8 Aug 2019)
    • CF30 Customer (since 13 Feb 2017)
    • Employed By (since 8 Aug 2019)
  • ARBUTHNOT LATHAM & CO., LIMITED (no longer approved here)

    FRN 143336

    • CF30 Customer (11 Feb 2009 to 6 Mar 2016)
  • JLT Wealth Management Limited (no longer approved here)

    FRN 196619

    • CF30 Customer (1 Nov 2007 to 30 Jan 2009)
    • CF1 Director (9 Aug 2007 to 30 Jan 2009)
    • CF24 Pension Transfer Specialist (31 Oct 2005 to 31 Oct 2007)
    • CF21 Investment Adviser (1 Jun 2005 to 31 Oct 2007)

Recent activity

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

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