Where they hold approval

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

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 21. Advising or arranging (bringing about) equity release transactions
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 1 Mar 2020)
    • [FCA CF] Client dealing (since 1 Mar 2020)
    • CF30 Customer (5 Sep 2018 to 8 Dec 2019)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (19 Nov 2015 to 1 Jul 2016)
  • Hartley Wealth Management Limited (no longer approved here)

    FRN 591080

    • (2)Employed By (19 Nov 2015 to 1 Jul 2016)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF30 Customer (2 Apr 2012 to 8 Dec 2015)
  • Blueprint Financial Services Ltd (no longer approved here)

    FRN 227242

    • Employed By (12 Feb 2010 to 8 Dec 2015)
  • Openwork Limited (no longer approved here)

    FRN 408285

    • CF30 Customer (12 Feb 2010 to 30 Mar 2012)

Recent activity

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

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