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
    • [FCA CF] Functions requiring qualifications (since 24 Jan 2022)
    • [FCA CF] Client dealing (since 24 Jan 2022)
  • Aviva Administration Limited (no longer approved here)

    FRN 185746

    • [FCA CF] Client dealing (1 Jan 2021 to 21 Jan 2022)
    • [FCA CF] Functions requiring qualifications (1 Jan 2021 to 21 Jan 2022)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (3 May 2011 to 30 Sep 2012)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF30 Customer (1 Nov 2007 to 26 Apr 2008)
    • CF21 Investment Adviser (4 Apr 2002 to 28 Jul 2003)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 4 Apr 2002)
  • Santander ISA Managers Limited (no longer approved here)

    FRN 171448

    • CF21 Investment Adviser (1 Dec 2001 to 30 Aug 2002)
  • Abbey National Cardiff and the Vales Limited (no longer approved here)

    FRN 207598

    • Employed By (1 Dec 2001 to 28 Feb 2003)

Recent activity

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

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