Where they hold approval

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

    • (7)Employed By (since 24 Mar 2023)
    • (4)Employed By (25 Jan 2022 to 27 Jan 2023)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (28 Apr 2022 to 25 Apr 2023)
    • [FCA CF] Functions requiring qualifications (28 Apr 2022 to 25 Apr 2023)
    • CF1 Director (22 Sep 2015 to 8 Dec 2019)
    • CF10 Compliance Oversight (22 Sep 2015 to 4 Sep 2017)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF30 Customer (since 4 Apr 2012)
    • CF1 Director (AR) (since 4 Apr 2012)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (29 Jul 2008 to 30 Mar 2012)

Recent activity

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

No changes recorded yet.