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
    • [FCA CF] Functions requiring qualifications (since 8 Aug 2025)
    • [FCA CF] Client dealing (since 8 Aug 2025)
  • Quilter Cheviot Limited (no longer approved here)

    FRN 124259

    • [FCA CF] Functions requiring qualifications (1 Oct 2020 to 27 Jul 2023)
    • [FCA CF] Client dealing (1 Oct 2020 to 27 Jul 2023)
    • CF30 Customer (16 Jul 2019 to 8 Dec 2019)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF30 Customer (9 May 2008 to 20 May 2008)
  • GHC CAPITAL MARKETS LTD. (no longer approved here)

    FRN 152998

    • CF30 Customer (1 Nov 2007 to 28 Dec 2007)
    • CF27 Investment Management (18 Aug 2003 to 31 Oct 2007)
    • CF21 Investment Adviser (18 Aug 2003 to 31 Oct 2007)
  • THOMAS GRANT & COMPANY LIMITED (no longer approved here)

    FRN 163296

    • CF27 Investment Management (1 Dec 2001 to 19 May 2003)
    • CF26 Customer Trading (1 Dec 2001 to 19 May 2003)

Recent activity

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

No changes recorded yet.