Where they hold approval

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

  • AV Trinity Limited (no longer approved here)

    FRN 182032

    • CF10 Compliance Oversight (8 Feb 2013 to 21 Apr 2015)
    • CF30 Customer (1 Nov 2007 to 11 Apr 2016)
    • CF8 Apportionment and Oversight (3 Feb 2005 to 31 Oct 2007)
    • Responsible for Insurance Mediation (14 Jan 2005 to 11 Apr 2016)
    • CF1 Director (1 Dec 2001 to 11 Apr 2016)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 14 Jan 2008)
    • CF1 Director (AR) (1 Dec 2001 to 11 Apr 2016)
  • RAYMOND JAMES INVESTMENT SERVICES LIMITED (no longer approved here)

    FRN 194713

    • CF30 Customer (1 Nov 2007 to 18 Jun 2008)
    • CF21 Investment Adviser (12 Sep 2007 to 31 Oct 2007)
    • CF27 Investment Management (12 Sep 2007 to 31 Oct 2007)
  • AV Private Wealth Management Ltd (no longer approved here)

    FRN 452987

    • Employed By (21 Sep 2006 to 31 Mar 2009)
  • Bridgehead (UK) Limited (no longer approved here)

    FRN 193134

    • Employed By (1 Apr 2000 to 15 Mar 2011)

Recent activity

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

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