Where they hold approval

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

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 19 May 2022)
    • [FCA CF] Functions requiring qualifications (since 19 May 2022)
    • SMF3 Executive Director (9 Dec 2019 to 15 Oct 2024)
    • CF30 Customer (14 Sep 2009 to 24 Dec 2009)
    • CF1 Director (1 Mar 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Mar 2007 to 31 Oct 2007)
    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • [FCA CF] Functions requiring qualifications (since 12 Dec 2019)
    • [FCA CF] Client dealing (since 12 Dec 2019)
    • [FCA CF] Significant management (12 Dec 2019 to 1 Oct 2025)
    • SMF3 Executive Director (9 Dec 2019 to 15 Oct 2024)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (3 Jan 2006 to 31 Oct 2007)
    • CF1 Director (3 Jan 2006 to 8 Dec 2019)
  • Bath & City Financial Ltd (no longer approved here)

    FRN 473851

    • Employed By (12 Jun 2012 to 8 Dec 2019)
  • Queensgate Independant Financial Advisors (no longer approved here)

    FRN 176975

    • (9)Employed By (22 Jun 2005 to 30 Dec 2005)
  • City Financial Planning Ltd (no longer approved here)

    FRN 200112

    • Employed By (20 Dec 1999 to 30 Dec 2005)

Recent activity

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

No changes recorded yet.