Where they hold approval

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

    • 11. Pension transfer specialist
    • 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] Manager of certification employee (since 1 Nov 2025)
    • [FCA CF] Client dealing (since 1 Nov 2025)
    • [FCA CF] Functions requiring qualifications (since 1 Nov 2025)
  • TAVISTOCK PARTNERS (UK) LTD (no longer approved here)

    FRN 230342

    • [FCA CF] Manager of certification employee (28 Mar 2025 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 (28 Mar 2012 to 8 Dec 2019)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (25 Jun 2004 to 13 Apr 2006)
    • CF22 Investment Adviser (Trainee) (31 Oct 2003 to 25 Jun 2004)

Recent activity

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

No changes recorded yet.