Where they hold approval

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

    • 21. Advising or arranging (bringing about) equity release transactions
    • 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
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (22 Oct 2012 to 8 Dec 2019)
  • Perspective (North East) Limited (no longer approved here)

    FRN 150317

    • CF30 Customer (1 Feb 2011 to 27 Jun 2012)
  • PERSPECTIVE (SOUTH EAST) LIMITED (no longer approved here)

    FRN 178690

    • CF30 Customer (2 Feb 2010 to 11 Feb 2011)
  • Legal and General Assurance Society Limited (no longer approved here)

    FRN 117659

    • CF22 Investment Adviser (Trainee) (14 May 2007 to 29 May 2007)
  • Legal & General (Unit Trust Managers) Limited (no longer approved here)

    FRN 119273

    • CF22 Investment Adviser (Trainee) (14 May 2007 to 29 May 2007)
  • Aviva Investors UK Fund Services Limited (no longer approved here)

    FRN 119310

    • CF21 Investment Adviser (1 Dec 2001 to 5 Dec 2003)

Recent activity

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

No changes recorded yet.