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
    • Appointed representative dealing with clients for which they require qualification (since 1 Aug 2020)
    • CF1 Director (AR) (since 12 Jun 2020)
    • CF30 Customer (since 12 Jun 2020)
    • [FCA CF] Functions requiring qualifications (13 Aug 2020 to 14 Feb 2021)
    • [FCA CF] Client dealing (13 Aug 2020 to 14 Feb 2021)
    • CF30 Customer (5 Jan 2015 to 8 Dec 2019)
    • (1)Employed By (since 12 Jun 2020)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF21 Investment Adviser (4 Dec 2002 to 10 Jul 2003)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 4 Dec 2002)
  • Scottish Widows Unit Trust Managers Limited (no longer approved here)

    FRN 122129

    • CF21 Investment Adviser (1 Dec 2001 to 17 Jul 2002)

Recent activity

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

No changes recorded yet.