Where they hold approval

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

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF10 Compliance Oversight (12 Nov 2014 to 8 Dec 2019)
    • CF1 Director (12 Nov 2014 to 8 Dec 2019)
    • CF30 Customer (12 Nov 2014 to 8 Dec 2019)
    • Responsible for Insurance Mediation (12 Nov 2014 to 30 Sep 2018)
  • ASCOT LLOYD FINANCIAL PLANNING LIMITED (no longer approved here)

    FRN 144519

    • CF30 Customer (1 Nov 2007 to 11 Nov 2014)
    • CF21 Investment Adviser (3 Aug 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (8 Jan 2007 to 3 Aug 2007)
  • Clydesdale Bank Plc (no longer approved here)

    FRN 121873

    • CF21 Investment Adviser (28 Dec 2005 to 11 Jan 2007)

Recent activity

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

No changes recorded yet.