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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • Appointed representative dealing with clients for which they require qualification (since 19 Dec 2019)
    • CF30 Customer (since 18 Feb 2013)
    • CF30 Customer (7 Feb 2012 to 31 Dec 2012)
    • (15)Employed By (since 31 May 2013)
  • Charles Derby Associates (no longer approved here)

    FRN 486140

    • Employed By (7 Feb 2012 to 31 Dec 2012)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF30 Customer (1 Nov 2007 to 29 Oct 2011)
    • CF21 Investment Adviser (5 Aug 2003 to 4 Jul 2005)
    • CF22 Investment Adviser (Trainee) (19 May 2003 to 5 Aug 2003)

Recent activity

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

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