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)
    • 9A. Advising on P2P agreements
    • 11. Pension transfer specialist
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Client dealing (since 25 Mar 2026)
    • [FCA CF] Functions requiring qualifications (since 25 Mar 2026)
    • 11. Pension transfer specialist
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 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)
    • 9A. Advising on P2P agreements
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (7 Nov 2019 to 8 Dec 2019)
  • Sandringham Financial Partners Limited (no longer approved here)

    FRN 581304

    • CF30 Customer (4 Jul 2013 to 29 Oct 2014)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • CF30 Customer (19 Jan 2011 to 11 Apr 2011)
  • Lighthouse Financial Advice Limited (no longer approved here)

    FRN 225502

    • (360)Employed By (19 Jan 2011 to 11 Apr 2011)
  • Affinity Financial Awareness Limited (no longer approved here)

    FRN 409160

    • CF30 Customer (2 May 2008 to 26 Sep 2008)
  • Independent Financial Services (UK) Ltd (no longer approved here)

    FRN 206445

    • (64)Employed By (19 Sep 2005 to 21 Dec 2007)
  • Liverpool Victoria Financial Advice Services Limited (no longer approved here)

    FRN 186890

    • CF22 Investment Adviser (Trainee) (23 Nov 2004 to 21 Sep 2005)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF22 Investment Adviser (Trainee) (7 May 2004 to 28 Sep 2004)
  • Wesleyan Assurance Society (no longer approved here)

    FRN 110873

    • CF22 Investment Adviser (Trainee) (1 Aug 2002 to 23 Mar 2003)

Recent activity

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

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