Where they hold approval

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

    • 14. Managing investments
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • Responsible for Insurance Distribution (30 Oct 2025 to 16 Mar 2026)
    • SMF16 Compliance Oversight (28 Oct 2025 to 16 Mar 2026)
    • SMF17 Money Laundering Reporting Officer (MLRO) (19 May 2025 to 29 Sep 2025)
    • CF1 Director (3 Sep 2010 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF27 Investment Management (26 Jul 2007 to 31 Oct 2007)
    • SMF3 Executive Director (since 30 Oct 2025)
    • SMF16 Compliance Oversight (since 30 Oct 2025)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 30 Oct 2025)
  • J.M. FINN & CO.LTD (no longer approved here)

    FRN 450754

    • CF27 Investment Management (30 Jun 2006 to 19 Feb 2007)
    • CF21 Investment Adviser (30 Jun 2006 to 19 Feb 2007)

Recent activity

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

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