Where they hold approval

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

  • BACKHOUSE INDEPENDENT FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 126319

    • SMF16 Compliance Oversight (9 Dec 2019 to 19 Jul 2022)
    • SMF3 Executive Director (9 Dec 2019 to 19 Jul 2022)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 14 Jul 2022)
    • [FCA CF] Client dealing (9 Dec 2019 to 14 Jul 2022)
    • Responsible for Insurance Distribution (1 Oct 2018 to 19 Jul 2022)
    • Responsible for Insurance Mediation (9 Aug 2017 to 30 Sep 2018)
    • CF10 Compliance Oversight (18 Jul 2017 to 8 Dec 2019)
    • CF1 Director (11 Aug 2011 to 8 Dec 2019)
    • CF30 Customer (18 Aug 2009 to 8 Dec 2019)
  • Carpenter Rees Limited (no longer approved here)

    FRN 189740

    • CF30 Customer (1 Nov 2007 to 15 Jun 2009)
    • CF21 Investment Adviser (26 Jun 2006 to 31 Oct 2007)
    • CF24 Pension Transfer Specialist (26 Jun 2006 to 31 Oct 2007)
  • James Brearley & Sons Limited (no longer approved here)

    FRN 189219

    • CF24 Pension Transfer Specialist (15 Dec 2003 to 3 Aug 2004)
    • CF21 Investment Adviser (1 Dec 2001 to 3 Aug 2004)

Recent activity

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

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