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)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF11 Money Laundering Reporting (19 May 2016 to 8 Dec 2019)
    • CF1 Director (19 May 2016 to 8 Dec 2019)
    • CF10 Compliance Oversight (19 May 2016 to 8 Dec 2019)
    • CF30 Customer (19 May 2016 to 8 Dec 2019)
    • Responsible for Insurance Mediation (19 May 2016 to 30 Sep 2018)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (22 Oct 2009 to 4 Jul 2012)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF30 Customer (1 Nov 2007 to 25 Dec 2009)
    • CF21 Investment Adviser (22 Oct 2007 to 31 Oct 2007)
  • HBOS Investment Fund Managers Limited (no longer approved here)

    FRN 119223

    • CF21 Investment Adviser (4 Nov 2002 to 5 Jun 2003)
    • CF22 Investment Adviser (Trainee) (24 Sep 2002 to 4 Nov 2002)

Recent activity

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

No changes recorded yet.