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
    • 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] Client dealing (since 10 Oct 2025)
    • Appointed representative dealing with clients for which they require qualification (since 10 Oct 2025)
    • CF30 Customer (since 21 May 2025)
    • (53)Employed By (since 21 May 2025)
  • CLARITY INDEPENDENT FINANCIAL ADVISERS LIMITED (no longer approved here)

    FRN 453293

    • [FCA CF] Functions requiring qualifications (5 Nov 2020 to 1 Dec 2022)
    • [FCA CF] Client dealing (5 Nov 2020 to 1 Dec 2022)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF4 Partner (AR) (4 Dec 2014 to 15 Jul 2020)
    • CF30 Customer (4 Dec 2014 to 15 Jul 2020)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (1 Nov 2007 to 24 Mar 2008)
    • CF21 Investment Adviser (17 Sep 2007 to 31 Oct 2007)
  • TSB Bank plc (no longer approved here)

    FRN 191240

    • CF21 Investment Adviser (5 Mar 2002 to 26 Sep 2005)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (1 Dec 2001 to 22 Feb 2002)

Recent activity

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

No changes recorded yet.