Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [FCA CF] Client dealing (since 11 Dec 2023)
    • [FCA CF] Functions requiring qualifications (since 11 Dec 2023)
  • GILBERT STEPHENS FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 579899

    • [FCA CF] Client dealing (9 Dec 2019 to 30 Jun 2023)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Jun 2023)
    • CF30 Customer (31 Aug 2012 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.