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
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Functions requiring qualifications (since 3 Sep 2024)
    • [FCA CF] Client dealing (since 3 Sep 2024)
  • Scottish Widows Schroder Personal Wealth Limited (no longer approved here)

    FRN 830170

    • [FCA CF] Functions requiring qualifications (30 Jan 2020 to 7 Apr 2021)
    • [FCA CF] Client dealing (30 Jan 2020 to 7 Apr 2021)
    • CF30 Customer (12 Jun 2019 to 8 Dec 2019)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (7 Aug 2014 to 6 Mar 2016)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (25 Nov 2008 to 29 Mar 2010)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF30 Customer (28 Aug 2008 to 8 Sep 2008)
  • West Bromwich Building Society (no longer approved here)

    FRN 104877

    • CF22 Investment Adviser (Trainee) (21 May 2002 to 7 Mar 2003)
  • Aviva Investors UK Fund Services Limited (no longer approved here)

    FRN 119310

    • CF21 Investment Adviser (1 Dec 2001 to 5 Dec 2003)
  • RBS Collective Investment Funds Limited (no longer approved here)

    FRN 122139

    • CF21 Investment Adviser (1 Dec 2001 to 3 May 2002)
  • Aviva Life & Pensions UK Limited (no longer approved here)

    FRN 185896

    • CF21 Investment Adviser (1 Dec 2001 to 3 May 2002)

Recent activity

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

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