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] Functions requiring qualifications (since 14 Jun 2021)
    • [FCA CF] Client dealing (since 14 Jun 2021)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 25 May 2021)
    • CF30 Customer (20 Sep 2018 to 25 May 2021)
  • Navigation Wealth Management Limited (no longer approved here)

    FRN 911786

    • (4)Employed By (31 Jul 2019 to 25 May 2021)
  • Frenkel Topping Limited (no longer approved here)

    FRN 145186

    • CF30 Customer (1 Aug 2016 to 31 Aug 2018)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (8 Oct 2014 to 6 Mar 2016)

Recent activity

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

No changes recorded yet.