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
    • Appointed representative dealing with clients for which they require qualification (since 1 Aug 2020)
    • CF30 Customer (since 29 Jun 2020)
    • CF1 Director (AR) (since 29 Jun 2020)
    • CF30 Customer (9 Sep 2013 to 8 Dec 2019)
    • Employed By (since 29 Jun 2020)
  • Prudential Distribution Limited (no longer approved here)

    FRN 194709

    • CF30 Customer (27 Feb 2012 to 9 Sep 2013)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF30 Customer (10 Jun 2010 to 13 Jan 2012)
  • Paragon Independent Limited (no longer approved here)

    FRN 440589

    • CF30 Customer (23 Feb 2009 to 16 Apr 2010)
  • Cullen Wealth Limited (no longer approved here)

    FRN 224355

    • CF30 Customer (12 Jun 2008 to 16 Jan 2009)
  • Aviva Administration Limited (no longer approved here)

    FRN 185746

    • CF30 Customer (1 Nov 2007 to 13 May 2008)
    • CF21 Investment Adviser (4 Apr 2006 to 26 Apr 2006)
    • CF22 Investment Adviser (Trainee) (23 Mar 2005 to 4 Apr 2006)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (20 Jan 2005 to 18 Feb 2005)
    • CF22 Investment Adviser (Trainee) (30 Apr 2004 to 20 Jan 2005)

Recent activity

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

No changes recorded yet.