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 11 Feb 2026)
    • [FCA CF] Client dealing (since 11 Feb 2026)
  • KPW Investments LLP (no longer approved here)

    FRN 609061

    • [FCA CF] Client dealing (2 Jan 2026 to 19 Mar 2026)
    • [FCA CF] Functions requiring qualifications (2 Jan 2026 to 19 Mar 2026)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF1 Director (AR) (24 Nov 2022 to 4 Jul 2025)
    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 4 Jul 2025)
    • CF30 Customer (21 Apr 2018 to 4 Jul 2025)
  • Carrick Stuart & Co (Financial Consultants) Ltd (no longer approved here)

    FRN 408406

    • Employed By (30 Jun 2012 to 15 Apr 2018)
  • Openwork Limited (no longer approved here)

    FRN 408285

    • CF30 Customer (12 Dec 2011 to 15 Apr 2018)
  • Quilter Financial Limited (no longer approved here)

    FRN 497604

    • CF30 Customer (20 Oct 2010 to 15 Dec 2011)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (24 Mar 2004 to 7 Dec 2004)
    • CF22 Investment Adviser (Trainee) (20 May 2003 to 24 Mar 2004)

Recent activity

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

No changes recorded yet.