Where they hold approval

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

    • Responsibility for MCD Intermediation (since 8 Apr 2026)
    • Responsible for Insurance Distribution (since 8 Apr 2026)
    • SMF3 Executive Director (since 22 Nov 2025)
    • SMF3 Executive Director (since 17 Nov 2025)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • SMF16 Compliance Oversight (9 Dec 2019 to 1 Apr 2026)
    • Responsible for Insurance Distribution (1 Oct 2018 to 1 Apr 2026)
    • Responsible for Insurance Mediation (10 Sep 2018 to 30 Sep 2018)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 1 Apr 2026)
    • CF10 Compliance Oversight (28 Oct 2011 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 2 May 2021)
    • CF21 Investment Adviser (21 Sep 2005 to 31 Oct 2007)
    • CF1 Director (AR) (21 Sep 2005 to 2 May 2021)
    • CF1 Director (16 Sep 2004 to 8 Dec 2019)
    • CF22 Investment Adviser (Trainee) (5 Nov 2003 to 31 Oct 2007)
  • Pier Investment Management Limited (no longer approved here)

    FRN 846470

    • SMF16 Compliance Oversight (5 Sep 2023 to 9 Dec 2024)
    • SMF3 Executive Director (5 Sep 2023 to 9 Dec 2024)
  • Hilton Sharp & Clarke FS Ltd (no longer approved here)

    FRN 438764

    • Employed By (21 Sep 2005 to 2 May 2021)
  • Pembroke Financial Services Ltd (no longer approved here)

    FRN 162474

    • (4)Employed By (13 Aug 2003 to 31 Oct 2003)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 5 Feb 2002)
  • Scottish Widows Unit Trust Managers Limited (no longer approved here)

    FRN 122129

    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 5 Feb 2002)
  • Scottish Widows Administration Services Limited (no longer approved here)

    FRN 139398

    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 5 Feb 2002)

Recent activity

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

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