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 24 Apr 2025)
    • [FCA CF] Functions requiring qualifications (since 24 Apr 2025)
  • PLAN SMART FINANCIAL PLANNING LIMITED (no longer approved here)

    FRN 625144

    • Responsible for Insurance Distribution (1 Oct 2018 to 26 Mar 2019)
    • CF1 Director (3 Sep 2018 to 26 Mar 2019)
    • CF10 Compliance Oversight (3 Sep 2018 to 26 Mar 2019)
    • Responsibility for MCD Intermediation (3 Sep 2018 to 26 Mar 2019)
    • CF11 Money Laundering Reporting (3 Sep 2018 to 26 Mar 2019)
    • Responsible for Insurance Mediation (3 Sep 2018 to 30 Sep 2018)
    • CF1 Director (AR) (22 May 2018 to 21 Feb 2019)
  • Fusion Asset Management LLP (no longer approved here)

    FRN 401334

    • CF1 Director (AR) (31 Jul 2017 to 1 May 2018)
  • H & D Financial Planning Limited (no longer approved here)

    FRN 779273

    • (7)Employed By (31 Jul 2017 to 1 May 2018)
  • ST. JAMES'S PLACE UNIT TRUST GROUP LIMITED (no longer approved here)

    FRN 122472

    • CF21 Investment Adviser (13 May 2002 to 30 Jul 2002)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 13 May 2002)
  • ST. JAMES'S PLACE UK PLC (no longer approved here)

    FRN 150026

    • CF21 Investment Adviser (13 May 2002 to 30 Jul 2002)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 13 May 2002)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 13 May 2002)

Recent activity

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

  1. controlled function removed: Employed By at H & D Financial Planning Limited

  2. controlled function added: (7)Employed By at H & D Financial Planning Limited