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
    • CF1 Director (AR) (since 30 Jun 2025)
    • Appointed representative dealing with clients for which they require qualification (since 26 Oct 2020)
    • [FCA CF] Functions requiring qualifications (since 26 Oct 2020)
    • [FCA CF] Client dealing (since 26 Oct 2020)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF30 Customer (since 3 Dec 2018)
    • Responsible for Insurance Distribution (since 3 Dec 2018)
    • CF11 Money Laundering Reporting (3 Dec 2018 to 8 Dec 2019)
    • CF10 Compliance Oversight (3 Dec 2018 to 8 Dec 2019)
    • CF1 Director (3 Dec 2018 to 8 Dec 2019)
    • (1)Employed By (since 15 Nov 2017)

Recent activity

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

No changes recorded yet.