Last updated
3 weeks ago
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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)
    • [FCA CF] Client dealing (since 25 Nov 2020)
    • [FCA CF] Functions requiring qualifications (since 25 Nov 2020)
    • Appointed representative dealing with clients for which they require qualification (25 Nov 2020 to 1 May 2024)
    • CF30 Customer (25 Nov 2020 to 1 May 2024)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 26 Nov 2020)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF22 Investment Adviser (Trainee) (22 Jun 2004 to 19 Apr 2005)
    • CF21 Investment Adviser (1 Dec 2001 to 15 Aug 2003)

Recent activity

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

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