Last updated
3 weeks ago
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Where they hold approval

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

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (9 Aug 2004 to 31 Oct 2007)
  • TenetConnect Services Limited (no longer approved here)

    FRN 150643

    • CF21 Investment Adviser (28 Mar 2003 to 5 Oct 2004)
  • IPP Financial Services Group (no longer approved here)

    FRN 169707

    • (1)Employed By (28 Mar 2003 to 5 Oct 2004)
  • James Brearley & Sons Limited (no longer approved here)

    FRN 189219

    • CF21 Investment Adviser (1 Dec 2001 to 26 Nov 2002)

Recent activity

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

No changes recorded yet.