Where they hold approval

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

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 29 Mar 2018)
    • CF1 Director (29 Mar 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (29 Mar 2018 to 8 Dec 2019)
    • Responsible for Insurance Mediation (29 Mar 2018 to 30 Sep 2018)
  • Legal & General Partnership Services Limited (no longer approved here)

    FRN 300792

    • CF1 Director (AR) (31 Oct 2004 to 5 Jan 2010)
  • Legal and General Assurance Society Limited (no longer approved here)

    FRN 117659

    • CF7 Sole Trader (AR) (1 Dec 2001 to 14 Feb 2005)
    • CF21 Investment Adviser (1 Dec 2001 to 1 Dec 2001)
  • Legal & General (Unit Trust Managers) Limited (no longer approved here)

    FRN 119273

    • CF7 Sole Trader (AR) (1 Dec 2001 to 14 Feb 2005)
    • CF21 Investment Adviser (1 Dec 2001 to 14 Feb 2005)
    • CF1 Director (AR) (1 Dec 2001 to 14 Feb 2005)

Recent activity

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

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