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)
    • Appointed representative dealing with clients for which they require qualification (since 17 Apr 2025)
    • [FCA CF] Functions requiring qualifications (since 17 Apr 2025)
    • CF30 Customer (since 11 Apr 2025)
    • CF1 Director (AR) (since 11 Apr 2025)
    • (1)Employed By (since 11 Apr 2025)
  • Lifetime Financial Management Intermediaries Ltd (no longer approved here)

    FRN 225795

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 15 Jan 2025)
    • [FCA CF] Client dealing (9 Dec 2019 to 15 Jan 2025)
    • CF30 Customer (14 Jun 2016 to 8 Dec 2019)
  • WESLEYAN FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 134753

    • CF30 Customer (15 Feb 2013 to 23 May 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)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF21 Investment Adviser (29 Apr 2002 to 5 Dec 2005)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 29 Apr 2002)

Recent activity

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

No changes recorded yet.