Where they hold approval

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

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF10 Compliance Oversight (30 Jan 2013 to 8 Dec 2019)
    • CF30 Customer (13 Dec 2012 to 8 Dec 2019)
    • CF4 Partner (13 Dec 2012 to 8 Dec 2019)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • CF30 Customer (1 Dec 2010 to 31 Dec 2012)
  • Lighthouse Financial Advice Limited (no longer approved here)

    FRN 225502

    • (700)Employed By (1 Dec 2010 to 31 Dec 2012)
  • Park Row Associates (k508) (no longer approved here)

    FRN 190108

    • (260)Employed By (12 Mar 2003 to 14 Apr 2003)
  • ST. JAMES'S PLACE UNIT TRUST GROUP LIMITED (no longer approved here)

    FRN 122472

    • CF21 Investment Adviser (1 Dec 2001 to 18 Dec 2002)
  • ST. JAMES'S PLACE UK PLC (no longer approved here)

    FRN 150026

    • CF21 Investment Adviser (1 Dec 2001 to 18 Dec 2002)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF21 Investment Adviser (1 Dec 2001 to 18 Dec 2002)

Recent activity

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

No changes recorded yet.