Where they hold approval

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

    • 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] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (28 Nov 2018 to 8 Dec 2019)
  • Foundation Investment Management Limited (no longer approved here)

    FRN 612117

    • CF30 Customer (30 Jul 2019 to 8 Dec 2019)
  • Equilibrium Financial Planning LLP (no longer approved here)

    FRN 452261

    • CF30 Customer (1 Dec 2017 to 8 Oct 2018)
  • The Independent Advice Bureau Limited (no longer approved here)

    FRN 226779

    • CF30 Customer (1 Nov 2007 to 29 Mar 2008)
    • CF21 Investment Adviser (19 Jun 2007 to 31 Oct 2007)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF22 Investment Adviser (Trainee) (29 Sep 2006 to 18 May 2007)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 21 Mar 2003)

Recent activity

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

No changes recorded yet.