Where they hold approval

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

    • 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
    • 11. Pension transfer specialist
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Client dealing (since 1 Nov 2025)
    • [FCA CF] Functions requiring qualifications (since 1 Nov 2025)
    • [FCA CF] Manager of certification employee (since 1 Nov 2025)
  • TAVISTOCK PARTNERS (UK) LTD (no longer approved here)

    FRN 230342

    • [FCA CF] Manager of certification employee (9 Dec 2019 to 13 Mar 2026)
    • [FCA CF] Client dealing (9 Dec 2019 to 13 Mar 2026)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 13 Mar 2026)
    • CF30 Customer (17 Jan 2013 to 8 Dec 2019)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF30 Customer (1 Nov 2007 to 23 Nov 2012)
    • CF21 Investment Adviser (7 Aug 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (6 Feb 2007 to 7 Aug 2007)
  • Phoenix Life Limited (no longer approved here)

    FRN 110418

    • CF21 Investment Adviser (1 Dec 2001 to 11 Oct 2002)
  • Columbia Threadneedle Fund Management Limited (no longer approved here)

    FRN 121940

    • CF21 Investment Adviser (1 Dec 2001 to 1 Jul 2002)

Recent activity

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

No changes recorded yet.