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] Functions requiring qualifications (since 1 Jul 2025)
    • SMF3 Executive Director (since 1 Jul 2025)
    • [FCA CF] Client dealing (since 1 Jul 2025)
    • Responsible for Insurance Distribution (since 1 Jul 2025)
    • SMF16 Compliance Oversight (since 1 Jul 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Jul 2025)
  • One Four Nine Wealth Limited (no longer approved here)

    FRN 153508

    • [FCA CF] Functions requiring qualifications (17 Jan 2024 to 16 Jul 2024)
    • [FCA CF] Client dealing (17 Jan 2024 to 16 Jul 2024)

Recent activity

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

No changes recorded yet.