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)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (since 5 Nov 2012)
    • (2)Employed By (since 29 Apr 2014)
  • WESLEYAN FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 134753

    • CF30 Customer (28 Jun 2011 to 30 Oct 2012)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (1 Nov 2007 to 25 Jun 2011)
    • CF21 Investment Adviser (17 Sep 2007 to 31 Oct 2007)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF21 Investment Adviser (17 Mar 2003 to 7 Jan 2005)
    • CF22 Investment Adviser (Trainee) (11 Jan 2002 to 17 Mar 2003)

Recent activity

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

No changes recorded yet.