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] Client dealing (since 9 Dec 2019)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF1 Director (AR) (since 2 Nov 2018)
    • CF30 Customer (since 21 Sep 2018)
    • Employed By (since 21 Sep 2018)
  • Lighthouse Financial Advice Limited (no longer approved here)

    FRN 225502

    • (651)Employed By (31 Jan 2011 to 18 Jul 2012)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • CF30 Customer (12 Jan 2010 to 18 Jul 2012)
  • Newcastle Financial Advisers Limited (no longer approved here)

    FRN 222899

    • (118)Employed By (29 Jan 2008 to 30 Oct 2009)
  • Openwork Limited (no longer approved here)

    FRN 408285

    • CF30 Customer (29 Jan 2008 to 30 Oct 2009)
  • Saxon Financial Advice Limited (no longer approved here)

    FRN 210326

    • CF21 Investment Adviser (8 Apr 2004 to 9 Apr 2004)
    • CF22 Investment Adviser (Trainee) (12 Nov 2002 to 9 Apr 2004)

Recent activity

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

No changes recorded yet.