Where they hold approval

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

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 16 Aug 2023)
    • [FCA CF] Client dealing (since 16 Aug 2023)
    • [FCA CF] Material risk taker (since 7 Sep 2022)
  • Age Partnership Limited (no longer approved here)

    FRN 425432

    • [FCA CF] Functions requiring qualifications (22 Nov 2021 to 7 Apr 2022)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (1 Nov 2007 to 30 Sep 2013)
    • CF21 Investment Adviser (3 Nov 2003 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 3 Nov 2003)

Recent activity

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

No changes recorded yet.