Where they hold approval

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

    • 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
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [FCA CF] Client dealing (since 7 Jan 2025)
    • [FCA CF] Functions requiring qualifications (since 12 Oct 2023)
    • [FCA CF] Manager of certification employee (since 18 May 2022)
  • NORTHUMBRIAN FINANCIAL LIMITED (no longer approved here)

    FRN 409087

    • SMF3 Executive Director (9 Dec 2019 to 6 Nov 2020)
    • CF1 Director (15 Nov 2017 to 8 Dec 2019)
    • CF30 Customer (29 Oct 2015 to 8 Dec 2019)

Recent activity

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

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