Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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St. James's Place Wealth Management Plc
FRN 195351
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 7. Giving personal recommendations on long-term care insurance contracts
- 11. Pension transfer specialist
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
- CF1 Director (AR) (since 4 Jan 2011)
- CF30 Customer (since 7 Jan 2009)
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Crown Wealth Ltd
FRN 493766
- Employed By (since 7 Jan 2009)
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- CF30 Customer (1 Nov 2007 to 31 Dec 2008)
- CF21 Investment Adviser (7 Dec 2004 to 31 Oct 2007)
- CF22 Investment Adviser (Trainee) (20 Apr 2004 to 7 Dec 2004)
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- CF21 Investment Adviser (4 Jul 2003 to 8 Jun 2004)
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- (22)Employed By (5 Sep 2002 to 15 Nov 2002)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.