Last updated
2 weeks ago
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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
    • CF1 Director (AR) (since 3 Apr 2024)
    • Appointed representative dealing with clients for which they require qualification (since 8 Nov 2023)
    • CF30 Customer (since 18 Oct 2023)
    • (2)Employed By (since 18 Oct 2023)
  • Ascot Lloyd Limited (no longer approved here)

    FRN 578614

    • [FCA CF] Client dealing (31 Mar 2023 to 1 Sep 2023)
    • [FCA CF] Functions requiring qualifications (31 Mar 2023 to 1 Sep 2023)
  • TenetConnect Services Limited (no longer approved here)

    FRN 150643

    • CF21 Investment Adviser (15 Nov 2002 to 14 May 2004)
  • Broadleaf Financial Services Limited (no longer approved here)

    FRN 182524

    • Employed By (15 Nov 2002 to 14 May 2004)
  • W H Ireland Limited (no longer approved here)

    FRN 140773

    • CF21 Investment Adviser (1 Dec 2001 to 5 Jul 2002)

Recent activity

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

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