Where they hold approval

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

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (5 Mar 2019 to 8 Dec 2019)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (5 Mar 2019 to 8 Dec 2019)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (24 Feb 2014 to 3 Apr 2015)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (1 Nov 2007 to 31 Mar 2008)
    • CF22 Investment Adviser (Trainee) (11 Apr 2007 to 31 Oct 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 15 Aug 2003)

Recent activity

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

No changes recorded yet.