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
    • Appointed representative dealing with clients for which they require qualification (since 1 Aug 2020)
    • CF1 Director (AR) (since 3 Jul 2020)
    • CF30 Customer (since 3 Jul 2020)
    • [FCA CF] Client dealing (8 Jul 2020 to 14 Feb 2021)
    • [FCA CF] Functions requiring qualifications (8 Jul 2020 to 14 Feb 2021)
    • CF30 Customer (9 Nov 2015 to 8 Dec 2019)
    • Employed By (since 3 Jul 2020)
  • ASCOT LLOYD FINANCIAL PLANNING LIMITED (no longer approved here)

    FRN 144519

    • CF30 Customer (1 Nov 2007 to 28 Feb 2014)
    • CF22 Investment Adviser (Trainee) (13 Mar 2007 to 31 Oct 2007)

Recent activity

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

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