Where they hold approval

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

  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (1 Nov 2007 to 28 Mar 2017)
    • CF21 Investment Adviser (13 Feb 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (27 Sep 2006 to 13 Feb 2007)
  • Policy Services Limited (no longer approved here)

    FRN 214036

    • CF8 Apportionment and Oversight (25 Oct 2002 to 21 Apr 2004)
    • CF10 Compliance Oversight (25 Oct 2002 to 21 Apr 2004)
    • CF11 Money Laundering Reporting (25 Oct 2002 to 21 Apr 2004)
    • CF1 Director (25 Oct 2002 to 21 Apr 2004)
  • ST. JAMES'S PLACE UNIT TRUST GROUP LIMITED (no longer approved here)

    FRN 122472

    • CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
  • ST. JAMES'S PLACE UK PLC (no longer approved here)

    FRN 150026

    • CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)

Recent activity

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

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