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
    • 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 21 Jan 2025)
    • [FCA CF] Functions requiring qualifications (since 21 Jan 2025)
  • LGT Wealth Management UK LLP (no longer approved here)

    FRN 471048

    • [FCA CF] Functions requiring qualifications (15 Jan 2024 to 3 Sep 2024)
  • BROWN SHIPLEY & CO. LIMITED (no longer approved here)

    FRN 124548

    • CF30 Customer (25 Mar 2011 to 6 Mar 2016)

Recent activity

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

No changes recorded yet.