Where they hold approval

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

    • 11. Pension transfer specialist
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 28 May 2024)
    • [FCA CF] Client dealing (since 28 May 2024)
  • Quilter Financial Limited (no longer approved here)

    FRN 497604

    • CF30 Customer (12 Jan 2012 to 21 Mar 2018)
    • CF1 Director (AR) (12 Jan 2012 to 21 Mar 2018)
  • Vivienne Shepherd Ltd (no longer approved here)

    FRN 163068

    • (5)Employed By (14 Sep 2010 to 31 Dec 2011)

Recent activity

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

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