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
    • 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] Functions requiring qualifications (since 10 Jul 2023)
    • [FCA CF] Client dealing (since 10 Jul 2023)
  • Ascot Lloyd Limited (no longer approved here)

    FRN 578614

    • CF30 Customer (6 Mar 2018 to 23 Mar 2018)
  • West Bromwich Financial Planning Ltd (no longer approved here)

    FRN 452555

    • Employed By (21 Nov 2007 to 18 Sep 2008)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF30 Customer (1 Nov 2007 to 18 Sep 2008)
    • CF21 Investment Adviser (23 Aug 2007 to 31 Oct 2007)
  • Andrew Mason & Company (no longer approved here)

    FRN 161202

    • Employed By (2 Mar 2006 to 24 Aug 2006)
  • Reece Norton and Company (U555) (no longer approved here)

    FRN 182257

    • (8)Employed By (4 Nov 2005 to 7 Feb 2006)

Recent activity

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

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