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
    • 8. Giving personal recommendations on investments in the course of corporate finance business
    • 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 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (16 May 2013 to 8 Dec 2019)
  • West Financial Management Co Limited (no longer approved here)

    FRN 230809

    • CF30 Customer (31 Dec 2008 to 27 Feb 2009)
  • Hyde Park Financial Advisers (no longer approved here)

    FRN 152949

    • (11)Employed By (4 Aug 2006 to 15 Feb 2007)
  • Royal London Mutual Insurance Society, Limited (THE) (no longer approved here)

    FRN 117672

    • CF21 Investment Adviser (1 Dec 2001 to 18 Jun 2002)
  • Royal London Savings Limited (no longer approved here)

    FRN 191237

    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 18 Jun 2002)

Recent activity

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

No changes recorded yet.