Where they hold approval

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

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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] Functions requiring qualifications (since 25 Nov 2024)
    • [FCA CF] Client dealing (since 25 Nov 2024)
    • Appointed representative dealing with clients for which they require qualification (since 25 Nov 2024)
    • CF30 Customer (since 21 Oct 2024)
    • (3)Employed By (since 21 Oct 2024)
  • Hargreaves Lansdown Advisory Services Limited (no longer approved here)

    FRN 189627

    • CF30 Customer (31 Dec 2012 to 8 May 2019)
  • HW Financial Services Limited (no longer approved here)

    FRN 134190

    • CF30 Customer (1 Nov 2007 to 3 Jan 2008)
    • CF21 Investment Adviser (4 Oct 2006 to 31 Oct 2007)
  • HBOS Investment Fund Managers Limited (no longer approved here)

    FRN 119223

    • CF21 Investment Adviser (1 Dec 2001 to 5 Jun 2003)

Recent activity

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

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