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 10 Jun 2022)
    • [FCA CF] Functions requiring qualifications (since 10 Jun 2022)
  • Three Counties Limited (no longer approved here)

    FRN 145005

    • [FCA CF] Functions requiring qualifications (3 Dec 2020 to 1 Jun 2022)
    • [FCA CF] Client dealing (3 Dec 2020 to 1 Jun 2022)
    • SMF3 Executive Director (25 Feb 2020 to 26 Apr 2022)
    • CF30 Customer (1 Jul 2015 to 8 Dec 2019)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (1 Nov 2007 to 28 Feb 2012)
    • CF21 Investment Adviser (11 Oct 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (17 Sep 2007 to 11 Oct 2007)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (1 Dec 2001 to 3 Nov 2006)

Recent activity

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

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