Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

    • 11. Pension transfer specialist
    • 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)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF1 Director (25 Jun 2018 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (25 Jun 2018 to 29 Oct 2019)
    • CF30 Customer (25 Jun 2018 to 8 Dec 2019)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF1 Director (AR) (31 Mar 2017 to 25 Jun 2018)
    • CF30 Customer (31 Mar 2017 to 25 Jun 2018)
  • Watson, Wood and Sillars Ltd (no longer approved here)

    FRN 774907

    • Employed By (31 Mar 2017 to 25 Jun 2018)

Recent activity

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

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