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
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 11. Pension transfer specialist
    • [FCA CF] Functions requiring qualifications (since 31 Jul 2020)
    • [FCA CF] Client dealing (since 31 Jul 2020)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF1 Director (AR) (31 Oct 2016 to 13 Oct 2017)
    • CF30 Customer (29 Apr 2013 to 13 Oct 2017)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (2 Mar 2010 to 11 Nov 2012)

Recent activity

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

No changes recorded yet.