Where they hold approval

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

    • 12. Giving personal recommendations on and dealing in 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
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 9A. Advising on P2P agreements
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Client dealing (since 13 Feb 2026)
    • Appointed representative dealing with clients for which they require qualification (since 13 Feb 2026)
    • CF1 Director (AR) (since 27 Jan 2026)
    • CF30 Customer (since 27 Jan 2026)
    • (1)Employed By (since 27 Jan 2026)
  • KW Wealth Planning Limited (no longer approved here)

    FRN 114694

    • [FCA CF] Manager of certification employee (16 May 2022 to 3 Oct 2025)
  • BROWN SHIPLEY & CO. LIMITED (no longer approved here)

    FRN 124548

    • [FCA CF] Manager of certification employee (9 Sep 2019 to 9 Sep 2019)
  • ARBUTHNOT LATHAM & CO., LIMITED (no longer approved here)

    FRN 143336

    • [FCA CF] Manager of certification employee (1 Nov 2016 to 18 Jan 2019)

Recent activity

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

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