Where they hold approval

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

    • (9)Employed By (since 29 Mar 2023)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • CF1 Director (AR) (since 29 Mar 2023)
    • [FCA CF] Functions requiring qualifications (since 7 Dec 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsibility for MCD Intermediation (since 10 Oct 2017)
    • CF10 Compliance Oversight (10 Oct 2017 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (10 Oct 2017 to 8 Dec 2019)
    • CF1 Director (16 Jul 2009 to 11 May 2011)
    • CF30 Customer (1 Nov 2007 to 31 Dec 2012)
    • CF21 Investment Adviser (3 May 2005 to 31 Oct 2007)
  • D.R.E. & Co Financial Planning LLP (no longer approved here)

    FRN 469570

    • (6)Employed By (16 Jul 2009 to 31 Dec 2012)
  • Phoenix Life Limited (no longer approved here)

    FRN 110418

    • CF21 Investment Adviser (1 Dec 2001 to 11 Oct 2002)

Recent activity

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

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