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)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 14 Oct 2025)
    • [FCA CF] Client dealing (since 14 Oct 2025)
  • Corbel Partners Limited (no longer approved here)

    FRN 429142

    • Appointed representative dealing with clients for which they require qualification (16 May 2025 to 11 Jun 2025)
    • [FCA CF] Client dealing (16 May 2025 to 11 Jun 2025)
    • [FCA CF] Functions requiring qualifications (16 May 2025 to 11 Jun 2025)
    • CF30 Customer (7 May 2025 to 6 Jun 2025)
  • QUILTER WEALTH LIMITED (no longer approved here)

    FRN 217742

    • CF30 Customer (2 Apr 2012 to 23 Jun 2017)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF30 Customer (5 Jul 2011 to 1 Apr 2012)
  • Charles Derby Wealth Management Limited (no longer approved here)

    FRN 535816

    • Employed By (5 Jul 2011 to 23 Jun 2017)
  • Caroline Griffiths (no longer approved here)

    FRN 401793

    • Employed By (1 Apr 2008 to 4 Oct 2008)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (1 Nov 2007 to 4 Oct 2008)
    • CF22 Investment Adviser (Trainee) (5 Oct 2007 to 31 Oct 2007)
  • David Allard (no longer approved here)

    FRN 401676

    • Employed By (5 Oct 2007 to 4 Sep 2025)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF22 Investment Adviser (Trainee) (10 Aug 2006 to 11 Jul 2007)

Recent activity

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

No changes recorded yet.