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 31 Mar 2023)
    • [FCA CF] Functions requiring qualifications (since 31 Mar 2023)
  • Ascot Lloyd Limited (no longer approved here)

    FRN 578614

    • CF30 Customer (5 Dec 2014 to 28 Apr 2016)
  • WESLEYAN FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 134753

    • CF30 Customer (9 Jun 2010 to 25 Oct 2010)

Recent activity

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

No changes recorded yet.