Where they hold approval

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

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or 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)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 3. Giving personal recommendations on derivatives
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 13. Giving personal recommendations on and dealing with derivatives
    • [FCA CF] Functions requiring qualifications (since 17 Sep 2025)
    • [FCA CF] Client dealing (since 17 Sep 2025)
  • Coutts & Company (no longer approved here)

    FRN 122287

    • [FCA CF] Functions requiring qualifications (7 Mar 2016 to 16 Feb 2024)
    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF21 Investment Adviser (9 Apr 2003 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (27 Feb 2002 to 9 Apr 2003)
  • HBOS Investment Fund Managers Limited (no longer approved here)

    FRN 119223

    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 11 Feb 2002)
    • CF21 Investment Adviser (1 Dec 2001 to 11 Feb 2002)

Recent activity

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

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