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
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 16 Nov 2023)
    • Responsible for Insurance Mediation (29 Oct 2010 to 30 Sep 2018)
    • CF30 Customer (25 Aug 2010 to 8 Dec 2019)
    • CF1 Director (25 Aug 2010 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (25 Aug 2010 to 8 Dec 2019)
    • CF10 Compliance Oversight (25 Aug 2010 to 8 Dec 2019)
  • Forvis Mazars Financial Planning Limited (no longer approved here)

    FRN 182644

    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 20 Dec 2001)

Recent activity

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

No changes recorded yet.