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)
    • 9A. Advising on P2P agreements
    • Director of firm who is not a certification employee or a SMF manager (since 20 Feb 2020)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF1 Director (AR) (since 25 Jun 2019)
    • CF30 Customer (since 8 Sep 2014)
    • CF30 Customer (27 Mar 2012 to 14 Feb 2014)
    • Employed By (since 13 Jun 2019)
  • Alexander Calder Financial Ltd (no longer approved here)

    FRN 407890

    • (27)Employed By (14 Feb 2011 to 30 Sep 2011)
  • Scottish Equitable Plc (no longer approved here)

    FRN 165548

    • CF21 Investment Adviser (1 Dec 2001 to 27 May 2002)

Recent activity

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

  1. controlled function removed: Employed By at Alexander Calder Financial Ltd

  2. controlled function added: (27)Employed By at Alexander Calder Financial Ltd