Where they hold approval

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

    • 11. Pension transfer specialist
    • 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] Client dealing (since 3 Jul 2025)
    • [FCA CF] Functions requiring qualifications (since 27 Apr 2021)
  • Scottish Widows Schroder Personal Wealth Limited (no longer approved here)

    FRN 830170

    • [FCA CF] Functions requiring qualifications (25 Nov 2020 to 5 Mar 2021)
    • [FCA CF] Client dealing (25 Nov 2020 to 5 Mar 2021)
  • Scottish Widows Unit Trust Managers Limited (no longer approved here)

    FRN 122129

    • [FCA CF] Functions requiring qualifications (19 Dec 2019 to 12 Apr 2021)
    • [FCA CF] Client dealing (19 Dec 2019 to 12 Apr 2021)
  • SCOTTISH WIDOWS LIMITED (no longer approved here)

    FRN 181655

    • [FCA CF] Client dealing (11 Jan 2019 to 12 Apr 2021)
    • [FCA CF] Functions requiring qualifications (11 Jan 2019 to 12 Apr 2021)
    • CF30 Customer (7 Jan 2016 to 9 Dec 2018)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (9 May 2008 to 11 Nov 2012)

Recent activity

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

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