Where they hold approval

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

    • Employed By (since 23 Aug 2024)
    • Employed By (7 Dec 2004 to 23 Dec 2005)
    • 9A. Advising on P2P agreements
    • 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)
    • CF1 Director (AR) (since 7 Jun 2021)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • [FCA CF] Significant management (9 Dec 2019 to 30 Mar 2021)
    • CF11 Money Laundering Reporting (14 Nov 2007 to 11 Jun 2013)
    • Responsible for Insurance Mediation (14 Nov 2007 to 30 Sep 2018)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (3 Jan 2006 to 31 Oct 2007)
    • CF1 Director (3 Jan 2006 to 8 Dec 2019)
    • CF10 Compliance Oversight (3 Jan 2006 to 22 Feb 2006)
    • CF8 Apportionment and Oversight (3 Jan 2006 to 22 Feb 2006)
    • Employed By (since 7 Jun 2021)
  • WEALTHWISE FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 401507

    • CF30 Customer (27 Dec 2012 to 5 Feb 2013)
    • CF21 Investment Adviser (7 Dec 2004 to 23 Dec 2005)

Recent activity

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

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