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
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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 1 Jun 2020)
    • [FCA CF] Client dealing (since 1 Jun 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (1 Apr 2011 to 8 Dec 2019)
    • Responsible for Insurance Mediation (1 Apr 2011 to 30 Sep 2018)
    • CF1 Director (1 Apr 2011 to 8 Dec 2019)
  • Openwork Limited (no longer approved here)

    FRN 408285

    • CF1 Director (AR) (10 Jul 2009 to 30 Aug 2011)
  • TenetConnect Services Limited (no longer approved here)

    FRN 150643

    • CF30 Customer (1 Nov 2007 to 23 May 2011)
    • CF1 Director (AR) (7 Mar 2005 to 29 Jun 2012)
    • CF21 Investment Adviser (25 Feb 2004 to 31 Oct 2007)
  • Royal London Mutual Insurance Society, Limited (THE) (no longer approved here)

    FRN 117672

    • CF16 Significant Mgt (Desgntd Investment Business) (13 Jun 2002 to 20 Feb 2003)
  • Royal London Savings Limited (no longer approved here)

    FRN 191237

    • CF16 Significant Mgt (Desgntd Investment Business) (13 Jun 2002 to 4 Nov 2002)

Recent activity

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

No changes recorded yet.