Last updated
3 weeks ago
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Where they hold approval

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

    • 11. Pension transfer specialist
    • 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 (14 Jun 2011 to 8 Dec 2019)
  • Legal and General Assurance Society Limited (no longer approved here)

    FRN 117659

    • CF21 Investment Adviser (15 Feb 2002 to 1 May 2003)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 15 Feb 2002)
  • Legal & General (Unit Trust Managers) Limited (no longer approved here)

    FRN 119273

    • CF21 Investment Adviser (15 Feb 2002 to 1 May 2003)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 15 Feb 2002)

Recent activity

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

No changes recorded yet.