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 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (16 Apr 2018 to 8 Dec 2019)
  • PK Financial Planning LLP (no longer approved here)

    FRN 223145

    • CF30 Customer (20 Jan 2010 to 13 Nov 2017)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF30 Customer (9 Dec 2009 to 5 Jan 2010)
  • Rosemount Financial Solutions Ltd (no longer approved here)

    FRN 448935

    • (38)Employed By (9 Dec 2009 to 5 Jan 2010)

Recent activity

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

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