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 9 Dec 2019)
    • CF30 Customer (since 1 Nov 2007)
    • CF1 Director (AR) (since 2 Oct 2003)
    • CF21 Investment Adviser (2 Oct 2003 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (22 May 2003 to 2 Oct 2003)
    • (3)Employed By (since 16 May 2005)
    • (5)Employed By (29 Sep 2004 to 20 Apr 2005)
  • ST. JAMES'S PLACE UNIT TRUST GROUP LIMITED (no longer approved here)

    FRN 122472

    • CF22 Investment Adviser (Trainee) (22 May 2003 to 3 Jun 2003)
  • ST. JAMES'S PLACE UK PLC (no longer approved here)

    FRN 150026

    • CF22 Investment Adviser (Trainee) (22 May 2003 to 3 Jun 2003)
  • Liberty Financial Planning (no longer approved here)

    FRN 160693

    • (4)Employed By (1 Oct 1998 to 31 Jan 2007)

Recent activity

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

No changes recorded yet.