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
    • 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
    • 21. Advising or arranging (bringing about) equity release transactions
    • [FCA CF] Functions requiring qualifications (since 26 Mar 2020)
    • [FCA CF] Client dealing (since 26 Mar 2020)
    • CF30 Customer (16 Nov 2018 to 8 Dec 2019)
  • Quilter Financial Limited (no longer approved here)

    FRN 497604

    • CF30 Customer (22 Jun 2016 to 16 Nov 2018)
  • Continuum (Financial Services) LLP (no longer approved here)

    FRN 617867

    • Employed By (22 Jun 2016 to 16 Nov 2018)
  • Kelvin Financial Planning Limited (no longer approved here)

    FRN 568257

    • CF30 Customer (15 May 2014 to 19 Aug 2015)
  • RA Financial Planning Limited (no longer approved here)

    FRN 602705

    • (4)Employed By (15 May 2014 to 19 Aug 2015)
  • Henderson Stone & Co Ltd (no longer approved here)

    FRN 226516

    • (21)Employed By (28 Sep 2011 to 28 Apr 2014)

Recent activity

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

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