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
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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] Manager of certification employee (since 10 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 10 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (1 May 2018 to 8 Dec 2019)
    • CF30 Customer (1 May 2018 to 8 Dec 2019)
  • The Tavistock Partnership Limited (no longer approved here)

    FRN 519014

    • CF1 Director (AR) (12 Apr 2017 to 27 Apr 2018)
    • CF30 Customer (12 Apr 2017 to 27 Apr 2018)
  • M&G ADVICE PARTNERS LIMITED (no longer approved here)

    FRN 584256

    • CF30 Customer (9 Sep 2013 to 25 Jul 2014)
  • Prudential Distribution Limited (no longer approved here)

    FRN 194709

    • CF30 Customer (1 Dec 2011 to 9 Sep 2013)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (15 Mar 2010 to 25 Nov 2011)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (8 Apr 2009 to 14 Mar 2010)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF22 Investment Adviser (Trainee) (15 Jul 2004 to 31 Oct 2006)

Recent activity

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

No changes recorded yet.