Last updated
2 weeks ago
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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
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 14. Managing investments
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Functions requiring qualifications (since 7 Nov 2022)
    • [FCA CF] Client dealing (since 7 Nov 2022)
  • XPAT Limited

    FRN 459255

    • 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 23 Sep 2021)
    • [FCA CF] Functions requiring qualifications (since 23 Sep 2021)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (12 Nov 2012 to 12 Jul 2013)

Recent activity

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

No changes recorded yet.