Where they hold approval

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

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • [FCA CF] Functions requiring qualifications (since 7 Dec 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 22 Jun 2018)
    • CF10 Compliance Oversight (22 Jun 2018 to 8 Dec 2019)
    • Responsible for Insurance Mediation (22 Jun 2018 to 30 Sep 2018)
    • CF1 Director (22 Jun 2018 to 8 Dec 2019)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • Appointed representative dealing with clients for which they require qualification (26 Jul 2024 to 17 Jun 2025)
    • CF30 Customer (23 Jul 2024 to 17 Jun 2025)
    • CF1 Director (AR) (23 Jul 2024 to 17 Jun 2025)
  • Apex Asset Advisors Limited (no longer approved here)

    FRN 1015486

    • Employed By (23 Jul 2024 to 17 Jun 2025)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • Appointed representative dealing with clients for which they require qualification (17 Feb 2022 to 9 Jun 2023)
    • CF30 Customer (2 Feb 2022 to 9 Jun 2023)
    • CF1 Director (AR) (2 Feb 2022 to 9 Jun 2023)
  • Quilter Mortgage Planning Limited (no longer approved here)

    FRN 440718

    • CF1 Director (AR) (29 Oct 2015 to 22 Jun 2018)

Recent activity

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

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