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)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (26 Oct 2020 to 5 Feb 2024)
    • CF30 Customer (25 Feb 2013 to 8 Dec 2019)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (29 May 2008 to 8 Aug 2013)
  • Openwork Limited (no longer approved here)

    FRN 408285

    • CF21 Investment Adviser (5 Dec 2005 to 3 May 2007)
    • CF22 Investment Adviser (Trainee) (1 Jun 2005 to 5 Dec 2005)
  • One Financial Planning Ltd (no longer approved here)

    FRN 191206

    • (36)Employed By (28 Apr 2005 to 3 May 2007)

Recent activity

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

  1. controlled function added: (36)Employed By at One Financial Planning Ltd