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
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • Appointed representative dealing with clients for which they require qualification (since 18 Nov 2024)
    • CF1 Director (AR) (since 17 Jun 2024)
    • CF30 Customer (since 17 Jun 2024)
    • [FCA CF] Client dealing (8 Apr 2024 to 18 Nov 2024)
    • [FCA CF] Functions requiring qualifications (8 Apr 2024 to 18 Nov 2024)
    • (2)Employed By (since 17 Jun 2024)
  • Tier One Capital Wealth Management Limited (no longer approved here)

    FRN 588633

    • [FCA CF] Client dealing (9 Dec 2019 to 5 Apr 2024)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 5 Apr 2024)
  • R S Elliot Ltd (no longer approved here)

    FRN 433092

    • (1)Employed By (13 Jun 2005 to 11 Aug 2007)

Recent activity

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

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