Last updated
2 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)
    • Appointed representative dealing with clients for which they require qualification (since 28 Nov 2025)
    • CF1 Director (AR) (since 14 Nov 2025)
    • CF30 Customer (since 14 Nov 2025)
    • (1)Employed By (since 14 Nov 2025)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 11 Jul 2025)
    • CF1 Director (AR) (5 Jul 2016 to 11 Jul 2025)
    • CF30 Customer (15 Dec 2014 to 11 Jul 2025)
  • Bordier & Cie (UK) PLC (no longer approved here)

    FRN 114324

    • CF29 Significant management (1 Apr 2011 to 5 Aug 2011)
    • CF30 Customer (1 Apr 2011 to 5 Aug 2011)
  • Killik & Co LLP (no longer approved here)

    FRN 462016

    • CF4 Partner (AR) (24 Oct 2008 to 30 Jun 2010)
    • CF30 Customer (1 Nov 2007 to 30 Jun 2010)
    • CF4 Partner (2 Apr 2007 to 30 Jun 2010)
    • CF24 Pension Transfer Specialist (2 Apr 2007 to 31 Oct 2007)
    • CF21 Investment Adviser (2 Apr 2007 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.