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
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF1 Director (AR) (since 1 Apr 2019)
    • CF30 Customer (since 1 Apr 2019)
    • Employed By (since 1 Apr 2019)
  • STERLING ASSET MANAGEMENT LTD (no longer approved here)

    FRN 627725

    • Responsible for Insurance Distribution (1 Oct 2018 to 7 Mar 2019)
    • Responsibility for MCD Intermediation (21 Jul 2016 to 7 Mar 2019)
    • CF11 Money Laundering Reporting (13 Oct 2014 to 7 Mar 2019)
    • Responsible for Insurance Mediation (13 Oct 2014 to 15 Jul 2016)
    • CF30 Customer (13 Oct 2014 to 7 Mar 2019)
    • CF1 Director (13 Oct 2014 to 7 Mar 2019)
  • TenetConnect Services Limited (no longer approved here)

    FRN 150643

    • CF1 Director (AR) (11 Jul 2013 to 30 Sep 2014)
    • CF30 Customer (7 Feb 2013 to 30 Sep 2014)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF30 Customer (1 Nov 2007 to 30 Jun 2009)
    • CF21 Investment Adviser (1 Dec 2001 to 1 Dec 2002)
  • Santander ISA Managers Limited (no longer approved here)

    FRN 171448

    • CF21 Investment Adviser (1 Dec 2001 to 30 Aug 2002)
  • Abbey National Cardiff and the Vales Limited (no longer approved here)

    FRN 207598

    • Employed By (1 Dec 2001 to 7 Mar 2003)

Recent activity

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

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