Where they hold approval

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

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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
    • [FCA CF] Functions requiring qualifications (since 5 Oct 2020)
    • [FCA CF] Client dealing (since 5 Oct 2020)
    • CF30 Customer (16 Nov 2018 to 8 Dec 2019)
  • Quilter Financial Limited (no longer approved here)

    FRN 497604

    • CF30 Customer (9 Jul 2014 to 16 Nov 2018)
  • Continuum (Financial Services) LLP (no longer approved here)

    FRN 617867

    • Employed By (9 Jul 2014 to 16 Nov 2018)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (1 Nov 2007 to 20 Jan 2015)
    • CF21 Investment Adviser (10 Nov 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (1 Aug 2006 to 10 Nov 2006)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF22 Investment Adviser (Trainee) (24 Jan 2005 to 28 Apr 2006)

Recent activity

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

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