Where they hold approval

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

    • SMF9 Chair of the Governing Body (since 7 Aug 2023)
    • [FCA CF] Material risk taker (9 Dec 2019 to 31 Aug 2022)
    • SMF27 Partner (9 Dec 2019 to 7 Aug 2023)
    • SMF1 Chief Executive (9 Dec 2019 to 7 Aug 2023)
    • CF2 Non Executive Director (AR) (28 Feb 2018 to 1 Nov 2019)
    • CF1 Director (AR) (9 Jul 2008 to 31 Dec 2011)
    • CF30 Customer (1 Nov 2007 to 30 Nov 2020)
    • CF3 Chief Executive (30 Aug 2005 to 8 Dec 2019)
    • CF10 Compliance Oversight (30 Aug 2005 to 22 Oct 2012)
    • CF21 Investment Adviser (30 Aug 2005 to 31 Oct 2007)
    • CF27 Investment Management (30 Aug 2005 to 31 Oct 2007)
    • CF4 Partner (30 Aug 2005 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (30 Aug 2005 to 31 Oct 2007)
  • Castlefield Corporate Advisory Partners Limited (no longer approved here)

    FRN 793148

    • Employed By (16 Apr 2018 to 30 Nov 2020)
  • Castlefield Wealth Management Limited (no longer approved here)

    FRN 485786

    • Employed By (9 Jul 2008 to 30 Nov 2020)
  • RAYMOND JAMES INVESTMENT SERVICES LIMITED (no longer approved here)

    FRN 194713

    • CF21 Investment Adviser (27 Sep 2004 to 4 Apr 2006)
    • CF27 Investment Management (5 Jun 2002 to 8 May 2006)
  • BROWN SHIPLEY & CO. LIMITED (no longer approved here)

    FRN 124548

    • CF1 Director (1 Dec 2001 to 31 May 2002)
    • CF27 Investment Management (1 Dec 2001 to 31 May 2002)
    • CF21 Investment Adviser (1 Dec 2001 to 31 May 2002)

Recent activity

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

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