Where they hold approval

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

    • 11. Pension transfer specialist
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (23 Jun 2015 to 8 Dec 2019)
  • Origen Financial Services Limited (no longer approved here)

    FRN 192666

    • CF30 Customer (2 Jul 2013 to 24 Jul 2015)
  • Clydesdale Bank Plc (no longer approved here)

    FRN 121873

    • CF30 Customer (1 Nov 2007 to 20 Jun 2013)
    • CF21 Investment Adviser (28 Dec 2005 to 31 Oct 2007)

Recent activity

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

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