Last updated
2 weeks ago
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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] Client dealing (since 12 Mar 2025)
    • Appointed representative dealing with clients for which they require qualification (since 12 Mar 2025)
    • CF30 Customer (since 11 Mar 2025)
    • (6)Employed By (since 11 Mar 2025)
  • BROWN SHIPLEY & CO. LIMITED (no longer approved here)

    FRN 124548

    • [FCA CF] Functions requiring qualifications (16 Mar 2021 to 22 Jul 2024)
  • Hargreaves Lansdown Advisory Services Limited (no longer approved here)

    FRN 189627

    • CF30 Customer (9 Jul 2014 to 8 Dec 2019)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (28 Mar 2010 to 2 Jun 2014)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (21 Aug 2009 to 29 Mar 2010)

Recent activity

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

No changes recorded yet.