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
    • [FCA CF] Client dealing (since 1 Oct 2019)
    • [FCA CF] Functions requiring qualifications (since 1 Oct 2016)
  • SKIPTON FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 100013

    • CF30 Customer (1 Nov 2007 to 27 Oct 2016)
    • CF21 Investment Adviser (2 Mar 2005 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (7 Apr 2004 to 2 Mar 2005)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF21 Investment Adviser (27 Aug 2002 to 31 Mar 2004)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 27 Aug 2002)
  • Scottish Widows Administration Services Limited (no longer approved here)

    FRN 139398

    • CF21 Investment Adviser (27 Aug 2002 to 27 Aug 2002)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 27 Aug 2002)

Recent activity

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

No changes recorded yet.