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] Client dealing (since 19 Jan 2021)
    • [FCA CF] Functions requiring qualifications (since 19 Jan 2021)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF30 Customer (27 Feb 2014 to 8 Dec 2019)
    • CF1 Director (27 Feb 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (27 Feb 2014 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (27 Feb 2014 to 8 Dec 2019)
    • Responsible for Insurance Mediation (27 Feb 2014 to 30 Sep 2018)
  • Ballymena Credit Union Limited (no longer approved here)

    FRN 574110

    • Director of firm who is not a certification employee or a SMF manager (23 Nov 2021 to 23 Jun 2023)
  • Evelyn Partners Financial Planning Limited (no longer approved here)

    FRN 136414

    • CF30 Customer (21 Dec 2007 to 31 Dec 2010)
  • TenetConnect Services Limited (no longer approved here)

    FRN 150643

    • CF21 Investment Adviser (14 Mar 2002 to 31 May 2007)
    • CF1 Director (AR) (14 Mar 2002 to 31 May 2007)

Recent activity

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

No changes recorded yet.