Where they hold approval

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

  • IS Independent Financial Advisers Ltd (no longer approved here)

    FRN 702709

    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 22 Sep 2025)
    • SMF16 Compliance Oversight (9 Dec 2019 to 22 Sep 2025)
    • Responsible for Insurance Distribution (1 Oct 2018 to 22 Sep 2025)
    • CF29 Significant management (2 Jan 2018 to 8 Dec 2019)
    • Responsible for Insurance Mediation (2 Jan 2018 to 30 Sep 2018)
    • CF11 Money Laundering Reporting (1 Sep 2017 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Sep 2017 to 8 Dec 2019)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (1 Nov 2007 to 14 Jun 2013)
    • CF21 Investment Adviser (1 Dec 2001 to 7 Aug 2002)

Recent activity

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

No changes recorded yet.