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 5 Apr 2024)
    • [FCA CF] Client dealing (since 5 Apr 2024)
    • SMF3 Executive Director (since 4 Apr 2024)
    • Responsible for Insurance Distribution (since 4 Apr 2024)
    • SMF16 Compliance Oversight (since 4 Apr 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 4 Apr 2024)
    • Responsibility for MCD Intermediation (since 4 Apr 2024)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 31 Mar 2024)
    • CF30 Customer (21 Sep 2012 to 31 Mar 2024)
    • CF1 Director (AR) (21 Sep 2012 to 31 Mar 2024)
  • Platinum Financial Planning Limited (no longer approved here)

    FRN 409778

    • Employed By (29 Oct 2004 to 2 Jul 2012)
  • Census Financial Planning (NI) Ltd (no longer approved here)

    FRN 200043

    • Employed By (14 Jan 2004 to 15 Sep 2004)

Recent activity

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

No changes recorded yet.