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
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsibility for MCD Intermediation (since 5 Oct 2016)
    • CF1 Director (12 Dec 2008 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF22 Investment Adviser (Trainee) (16 Feb 2007 to 31 Oct 2007)
  • WESLEYAN FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 134753

    • CF21 Investment Adviser (15 Jun 2005 to 2 Feb 2007)
    • CF22 Investment Adviser (Trainee) (14 Jan 2005 to 15 Jun 2005)
  • Wesleyan Assurance Society (no longer approved here)

    FRN 110873

    • CF22 Investment Adviser (Trainee) (23 Jun 2004 to 14 Jan 2005)
  • Wesleyan Unit Trust Managers Limited (no longer approved here)

    FRN 175798

    • CF22 Investment Adviser (Trainee) (23 Jun 2004 to 14 Jan 2005)
  • ABERDEEN PLATFORM LIMITED (no longer approved here)

    FRN 188796

    • CF22 Investment Adviser (Trainee) (24 Dec 2001 to 31 Jul 2002)

Recent activity

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

No changes recorded yet.