Last updated
1 week ago
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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
    • 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)
    • [FCA CF] Functions requiring qualifications (since 20 Aug 2024)
    • [FCA CF] Client dealing (since 20 Aug 2024)
  • Scottish Widows Schroder Personal Wealth Limited (no longer approved here)

    FRN 830170

    • [FCA CF] Functions requiring qualifications (10 Feb 2022 to 31 Dec 2023)
    • [FCA CF] Manager of certification employee (6 Jul 2021 to 31 Dec 2023)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (1 Nov 2007 to 1 Nov 2008)
    • CF21 Investment Adviser (17 Sep 2007 to 31 Oct 2007)

Recent activity

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

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