Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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- 4. Giving personal recommendations on retail investment products which are not broker funds
- 7. Giving personal recommendations on long-term care insurance contracts
- [FCA CF] Functions requiring qualifications (since 24 Apr 2020)
- [FCA CF] Client dealing (since 24 Apr 2020)
- CF30 Customer (13 Jun 2019 to 8 Dec 2019)
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- CF30 Customer (23 Jan 2008 to 6 Mar 2016)
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- CF21 Investment Adviser (16 Oct 2004 to 30 Nov 2005)
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- (3)Employed By (16 Oct 2004 to 30 Nov 2005)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.