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)
    • [FCA CF] Functions requiring qualifications (since 6 Jan 2025)
    • [FCA CF] Client dealing (since 6 Jan 2025)
  • City Financial Planning (Exeter) Limited (no longer approved here)

    FRN 460195

    • [FCA CF] Client dealing (9 Dec 2019 to 12 Dec 2024)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 12 Dec 2024)
    • CF30 Customer (1 Nov 2007 to 23 Mar 2018)
    • CF21 Investment Adviser (1 Mar 2007 to 31 Oct 2007)
  • CITY FINANCIAL PLANNING LIMITED (no longer approved here)

    FRN 440633

    • CF21 Investment Adviser (7 Mar 2006 to 22 Mar 2007)
    • CF22 Investment Adviser (Trainee) (3 Jan 2006 to 7 Mar 2006)
  • Queensgate Independant Financial Advisors (no longer approved here)

    FRN 176975

    • (14)Employed By (11 Apr 2005 to 18 Nov 2005)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (20 Feb 2004 to 14 Feb 2005)
    • CF22 Investment Adviser (Trainee) (18 Nov 2003 to 20 Feb 2004)

Recent activity

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

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