Where they hold approval

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

    • 9A. Advising on P2P agreements
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or 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] Client dealing (since 10 Nov 2023)
    • Appointed representative dealing with clients for which they require qualification (since 10 Nov 2023)
    • CF30 Customer (since 30 Oct 2023)
    • (3)Employed By (since 30 Oct 2023)
  • abrdn Investments Limited (no longer approved here)

    FRN 121891

    • [FCA CF] Manager of certification employee (11 Jan 2022 to 12 Dec 2022)
    • [FCA CF] Client dealing (11 Jan 2022 to 12 Dec 2022)
    • CF30 Customer (4 Apr 2018 to 8 Dec 2019)
  • abrdn Investment Management Limited (no longer approved here)

    FRN 188406

    • [FCA CF] Client dealing (11 Jan 2022 to 12 Dec 2022)
    • [FCA CF] Manager of certification employee (11 Jan 2022 to 12 Dec 2022)
    • CF30 Customer (5 Dec 2013 to 8 Dec 2019)
  • Mercer Limited (no longer approved here)

    FRN 121935

    • CF30 Customer (15 Nov 2007 to 18 Jun 2010)

Recent activity

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

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