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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [FCA CF] Functions requiring qualifications (since 6 Dec 2022)
    • [FCA CF] Client dealing (since 6 Dec 2022)
  • Carter Lane Financial Management Ltd (no longer approved here)

    FRN 970618

    • Employed By (24 Feb 2022 to 21 Oct 2022)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • Appointed representative dealing with clients for which they require qualification (28 Feb 2020 to 21 Oct 2022)
    • CF30 Customer (20 Feb 2020 to 21 Oct 2022)
  • The John Greening Practice Ltd (no longer approved here)

    FRN 416402

    • Employed By (20 Feb 2020 to 21 Oct 2022)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (28 Mar 2008 to 11 Jan 2012)

Recent activity

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

No changes recorded yet.