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
    • 9A. Advising on P2P agreements
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Client dealing (since 28 Feb 2022)
    • Appointed representative dealing with clients for which they require qualification (since 28 Feb 2022)
    • CF30 Customer (since 17 Feb 2022)
  • SOVEREIGN MONEY MATTERS LIMITED (no longer approved here)

    FRN 599883

    • [FCA CF] Client dealing (23 Sep 2020 to 16 Dec 2021)
    • [FCA CF] Functions requiring qualifications (23 Sep 2020 to 16 Dec 2021)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF30 Customer (16 Apr 2019 to 31 Oct 2019)
  • The Financial Advice Service Ltd (no longer approved here)

    FRN 682428

    • Employed By (16 Apr 2019 to 31 Oct 2019)
  • Age Partnership Wealth Management Limited (no longer approved here)

    FRN 670493

    • CF30 Customer (24 Jul 2015 to 31 Aug 2016)
  • Age Partnership Limited (no longer approved here)

    FRN 425432

    • CF30 Customer (1 Jun 2015 to 29 Feb 2016)
  • WESLEYAN FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 134753

    • CF30 Customer (6 Jan 2010 to 11 Mar 2011)
  • ABERDEEN PLATFORM LIMITED (no longer approved here)

    FRN 188796

    • CF21 Investment Adviser (1 Dec 2001 to 31 Jul 2002)

Recent activity

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

No changes recorded yet.