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] Client dealing (since 7 Oct 2025)
    • Appointed representative dealing with clients for which they require qualification (since 7 Oct 2025)
    • CF30 Customer (since 23 Jun 2025)
    • (52)Employed By (since 23 Jun 2025)
  • CLARITY INDEPENDENT FINANCIAL ADVISERS LIMITED (no longer approved here)

    FRN 453293

    • [FCA CF] Client dealing (5 Nov 2020 to 1 Dec 2022)
    • [FCA CF] Functions requiring qualifications (5 Nov 2020 to 1 Dec 2022)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF4 Partner (AR) (4 Dec 2014 to 15 Jul 2020)
    • CF30 Customer (4 Dec 2014 to 15 Jul 2020)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (1 Nov 2007 to 4 Jun 2008)
    • CF21 Investment Adviser (22 Jun 2004 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (23 Apr 2004 to 22 Jun 2004)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF21 Investment Adviser (22 May 2003 to 27 May 2004)
    • CF22 Investment Adviser (Trainee) (27 Aug 2002 to 22 May 2003)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (1 Dec 2001 to 9 Aug 2002)

Recent activity

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

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