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 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (17 Sep 2014 to 8 Dec 2019)
  • Goodmans Financial Planning Ltd (no longer approved here)

    FRN 513667

    • CF30 Customer (7 Mar 2012 to 18 Nov 2014)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (4 Mar 2008 to 4 Jul 2012)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF30 Customer (1 Nov 2007 to 22 Feb 2008)
    • CF21 Investment Adviser (24 Jan 2002 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 24 Jan 2002)

Recent activity

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

No changes recorded yet.