Where they hold approval

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

    • 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 (11 Oct 2019 to 8 Dec 2019)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF1 Director (AR) (31 Jan 2018 to 10 Nov 2019)
    • CF30 Customer (1 Nov 2007 to 10 Nov 2019)
    • CF21 Investment Adviser (13 Aug 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (3 Apr 2007 to 13 Aug 2007)
  • Carpe Diem Private Client Ltd (no longer approved here)

    FRN 797610

    • Employed By (31 Jan 2018 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.