Where they hold approval

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

    • 11. Pension transfer specialist
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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] Client dealing (since 30 Jun 2025)
    • [FCA CF] Functions requiring qualifications (since 30 Jun 2025)
    • CF30 Customer (1 Nov 2007 to 12 Jul 2011)
    • CF21 Investment Adviser (14 May 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (4 Sep 2006 to 15 May 2007)
  • N.F.U. Mutual Unit Managers Limited (no longer approved here)

    FRN 121922

    • CF21 Investment Adviser (14 May 2007 to 14 May 2007)
    • CF22 Investment Adviser (Trainee) (4 Sep 2006 to 15 May 2007)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF21 Investment Adviser (17 Oct 2005 to 7 Jul 2006)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF21 Investment Adviser (2 Jun 2005 to 14 Jun 2005)
    • CF22 Investment Adviser (Trainee) (9 Jun 2004 to 2 Jun 2005)
  • ABERDEEN PLATFORM LIMITED (no longer approved here)

    FRN 188796

    • CF22 Investment Adviser (Trainee) (3 Oct 2002 to 3 Oct 2002)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (24 Apr 2002 to 4 Sep 2002)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 24 Apr 2002)

Recent activity

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

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