Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
- [FCA CF] Client dealing (1 Apr 2021 to 7 Mar 2023)
- SMF1 Chief Executive (9 Dec 2019 to 22 Jul 2022)
- SMF3 Executive Director (9 Dec 2019 to 22 Jul 2022)
- CF1 Director (AR) (1 Feb 2016 to 22 Jul 2022)
- Responsible for Insurance Mediation (14 Sep 2012 to 3 Jun 2016)
- CF1 Director (28 Oct 2008 to 8 Dec 2019)
- CF11 Money Laundering Reporting (28 Oct 2008 to 3 Jun 2016)
- CF10 Compliance Oversight (28 Oct 2008 to 3 Jun 2016)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF22 Investment Adviser (Trainee) (27 Sep 2005 to 31 Oct 2007)
- CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
- CF8 Apportionment and Oversight (1 Dec 2001 to 1 Aug 2004)
- CF3 Chief Executive (1 Dec 2001 to 1 Aug 2004)
- CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)
-
- [FCA CF] Client dealing (1 Apr 2021 to 6 Mar 2023)
- SMF3 Executive Director (9 Dec 2019 to 22 Jul 2022)
- SMF1 Chief Executive (9 Dec 2019 to 22 Jul 2022)
- CF3 Chief Executive (6 Jun 2018 to 8 Dec 2019)
- CF1 Director (AR) (22 Dec 2017 to 21 Feb 2022)
- CF30 Customer (20 Jan 2016 to 4 Jan 2023)
- CF11 Money Laundering Reporting (20 Jan 2016 to 3 Jun 2016)
- CF8 Apportionment and Oversight (20 Jan 2016 to 15 Jul 2016)
- CF10 Compliance Oversight (20 Jan 2016 to 3 Jun 2016)
- CF1 Director (20 Jan 2016 to 8 Dec 2019)
-
- Employed By (3 Apr 2019 to 4 Jan 2023)
-
- (31)Employed By (22 Dec 2017 to 4 Jan 2023)
Recent activity
Updates to this individual's record on the FCA register.
-
controlled function removed: Employed By at Apex Investment Advisers Limited
-
controlled function added: (31)Employed By at Apex Investment Advisers Limited