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 7 Oct 2025)
    • [FCA CF] Functions requiring qualifications (since 7 Oct 2025)
    • 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)
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 3. Giving personal recommendations on derivatives
    • 10. Broker fund adviser
    • 14. Managing investments
    • [FCA CF] Functions requiring qualifications (since 19 Jun 2025)
    • [FCA CF] Client dealing (since 19 Jun 2025)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF21 Investment Adviser (2 Feb 2007 to 30 Apr 2007)
    • CF22 Investment Adviser (Trainee) (22 Oct 2004 to 2 Feb 2007)

Recent activity

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

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