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
    • [FCA CF] Functions requiring qualifications (since 9 Nov 2022)
    • [FCA CF] Client dealing (9 Nov 2022 to 10 Nov 2022)
  • M&G ADVICE PARTNERS LIMITED (no longer approved here)

    FRN 584256

    • [FCA CF] Functions requiring qualifications (12 Aug 2021 to 25 Mar 2022)
    • [FCA CF] Client dealing (12 Aug 2021 to 25 Mar 2022)
  • Scottish Widows Unit Trust Managers Limited (no longer approved here)

    FRN 122129

    • [FCA CF] Client dealing (13 Jan 2020 to 21 Jan 2021)
    • [FCA CF] Functions requiring qualifications (13 Jan 2020 to 21 Jan 2021)
  • SCOTTISH WIDOWS LIMITED (no longer approved here)

    FRN 181655

    • [FCA CF] Functions requiring qualifications (11 Nov 2019 to 21 Jan 2021)
    • [FCA CF] Client dealing (11 Nov 2019 to 21 Jan 2021)
    • CF30 Customer (14 Apr 2016 to 9 Dec 2018)
  • HW Financial Services Limited (no longer approved here)

    FRN 134190

    • CF30 Customer (1 Nov 2007 to 6 Jul 2012)
    • CF21 Investment Adviser (16 Sep 2003 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (13 Jan 2003 to 16 Sep 2003)

Recent activity

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

No changes recorded yet.