Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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- 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
- 4. Giving personal recommendations on retail investment products which are not broker funds
- Appointed representative dealing with clients for which they require qualification (since 15 Dec 2025)
- CF30 Customer (since 13 Dec 2025)
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Principal & Prosper Limited
FRN 944737
- (7)Employed By (since 13 Dec 2025)
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- [FCA CF] Functions requiring qualifications (16 Jun 2023 to 4 Dec 2025)
- [FCA CF] Client dealing (16 Jun 2023 to 4 Dec 2025)
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- [FCA CF] Functions requiring qualifications (17 Oct 2022 to 31 May 2024)
- [FCA CF] Client dealing (17 Oct 2022 to 31 May 2024)
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- [FCA CF] Functions requiring qualifications (7 Dec 2020 to 31 Oct 2022)
- [FCA CF] Client dealing (7 Dec 2020 to 31 Oct 2022)
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- CF30 Customer (19 Jun 2019 to 8 Dec 2019)
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- CF30 Customer (19 Jul 2017 to 26 Feb 2019)
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- CF30 Customer (17 May 2016 to 3 Feb 2017)
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- (1)Employed By (17 May 2016 to 3 Feb 2017)
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- (60)Employed By (1 May 2012 to 30 Nov 2012)
Recent activity
Updates to this individual's record on the FCA register.
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controlled function removed: Employed By at Principal & Prosper Limited
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controlled function added: (7)Employed By at Principal & Prosper Limited
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controlled function added: (60)Employed By at One Financial Planning Ltd