Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

    • 9A. Advising on P2P agreements
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 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] Client dealing (since 31 Mar 2025)
    • Appointed representative dealing with clients for which they require qualification (since 31 Mar 2025)
    • CF30 Customer (since 26 Mar 2025)
    • Employed By (since 26 Mar 2025)
  • HARBOUR ROCK CAPITAL LIMITED (no longer approved here)

    FRN 754580

    • [FCA CF] Significant management (9 Dec 2019 to 31 Jan 2025)
    • [FCA CF] Client dealing (9 Dec 2019 to 31 Jan 2025)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Jan 2025)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 31 Jan 2025)
    • CF30 Customer (5 Jan 2018 to 8 Dec 2019)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (29 Sep 2010 to 11 Nov 2012)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF30 Customer (1 Nov 2007 to 22 May 2010)
    • CF21 Investment Adviser (15 Jun 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (28 Feb 2006 to 15 Jun 2007)

Recent activity

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

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