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] Functions requiring qualifications (since 1 Dec 2020)
    • [FCA CF] Client dealing (since 1 Dec 2020)
    • Appointed representative dealing with clients for which they require qualification (since 1 Dec 2020)
    • CF30 Customer (since 13 Feb 2017)
    • (5)Employed By (since 13 Feb 2017)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF30 Customer (18 Jan 2010 to 27 Jun 2011)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF30 Customer (2 May 2008 to 1 Jan 2010)
  • Life Insurance Corporation of India (no longer approved here)

    FRN 110379

    • CF22 Investment Adviser (Trainee) (11 Sep 2006 to 17 Jul 2007)
  • West Bromwich Building Society (no longer approved here)

    FRN 104877

    • CF22 Investment Adviser (Trainee) (3 Dec 2003 to 17 Jan 2006)
  • Aviva Investors UK Fund Services Limited (no longer approved here)

    FRN 119310

    • CF21 Investment Adviser (1 Dec 2001 to 5 Dec 2003)

Recent activity

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

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