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
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Client dealing (since 1 Jul 2022)
    • [FCA CF] Functions requiring qualifications (since 1 Jul 2022)
  • Scottish Widows Schroder Personal Wealth Limited (no longer approved here)

    FRN 830170

    • [FCA CF] Functions requiring qualifications (4 May 2020 to 1 Jul 2022)
    • [FCA CF] Client dealing (4 May 2020 to 1 Jul 2022)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (8 Nov 2018 to 7 Feb 2020)

Recent activity

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

No changes recorded yet.