Last updated
2 weeks ago
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Where they hold approval

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

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 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 12 Oct 2021)
    • [FCA CF] Functions requiring qualifications (since 12 Oct 2021)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • Appointed representative dealing with clients for which they require qualification (30 Apr 2021 to 13 Jul 2021)
    • CF30 Customer (23 Apr 2021 to 13 Jul 2021)
  • Reflect Financial Limited (no longer approved here)

    FRN 932095

    • (8)Employed By (23 Apr 2021 to 13 Jul 2021)
  • Rathbones Investment Management Limited (no longer approved here)

    FRN 116316

    • [FCA CF] Functions requiring qualifications (27 Sep 2018 to 31 Jan 2020)

Recent activity

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

No changes recorded yet.