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] Functions requiring qualifications (since 13 Dec 2023)
    • [FCA CF] Client dealing (since 13 Dec 2023)
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Client dealing (since 13 Dec 2023)
    • [FCA CF] Functions requiring qualifications (since 13 Dec 2023)
  • AFH Independent Financial Services Limited (no longer approved here)

    FRN 216704

    • [FCA CF] Functions requiring qualifications (21 Mar 2022 to 11 Sep 2023)
    • [FCA CF] Client dealing (21 Mar 2022 to 11 Sep 2023)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • Appointed representative dealing with clients for which they require qualification (26 Oct 2021 to 28 Feb 2022)
    • CF30 Customer (8 Oct 2021 to 28 Feb 2022)
  • Lighthouse Financial Advice Limited (no longer approved here)

    FRN 225502

    • (563)Employed By (8 Oct 2021 to 28 Feb 2022)
  • M&G ADVICE PARTNERS LIMITED (no longer approved here)

    FRN 584256

    • [FCA CF] Functions requiring qualifications (2 Jul 2020 to 14 Feb 2021)
    • [FCA CF] Client dealing (2 Jul 2020 to 14 Feb 2021)
    • CF30 Customer (27 Mar 2019 to 8 Dec 2019)
  • TAVISTOCK PARTNERS (UK) LTD (no longer approved here)

    FRN 230342

    • CF30 Customer (20 Nov 2017 to 18 Mar 2019)
  • Chase de Vere Independent Financial Advisers limited (no longer approved here)

    FRN 137914

    • CF30 Customer (25 Apr 2017 to 29 Sep 2017)

Recent activity

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

No changes recorded yet.