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 1 Jul 2018)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • [FCA CF] Functions requiring qualifications (19 May 2016 to 1 Jul 2018)
    • CF30 Customer (26 Mar 2013 to 6 Mar 2016)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (1 Nov 2007 to 11 Nov 2012)
    • CF21 Investment Adviser (17 Sep 2007 to 31 Oct 2007)
  • Elevate Portfolio Services Limited (no longer approved here)

    FRN 144849

    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2004)
  • Birmingham Midshires Financial Services Limited (no longer approved here)

    FRN 169484

    • Employed By (1 Dec 2001 to 30 Sep 2005)
  • Aviva Administration Limited (no longer approved here)

    FRN 185746

    • CF21 Investment Adviser (1 Dec 2001 to 30 Sep 2005)

Recent activity

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

No changes recorded yet.