Where they hold approval

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

  • ARBION LIMITED

    FRN 513138

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 3. Giving personal recommendations on derivatives
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Functions requiring qualifications (since 4 Mar 2026)
    • [FCA CF] Client dealing (since 4 Mar 2026)
    • [FCA CF] Client dealing (since 1 Jul 2024)
  • TP ICAP E&C Limited (no longer approved here)

    FRN 146880

    • CF29 Significant management (1 Nov 2007 to 30 Nov 2007)
    • CF30 Customer (1 Nov 2007 to 30 Nov 2007)
    • CF16 Significant Mgt (Desgntd Investment Business) (6 Jun 2007 to 31 Oct 2007)
    • CF21 Investment Adviser (6 Jun 2007 to 31 Oct 2007)
  • TP ICAP Broking Limited (no longer approved here)

    FRN 154234

    • CF30 Customer (1 Nov 2007 to 30 Nov 2007)
    • CF29 Significant management (1 Nov 2007 to 30 Nov 2007)
    • CF21 Investment Adviser (6 Jun 2007 to 31 Oct 2007)
    • CF16 Significant Mgt (Desgntd Investment Business) (6 Jun 2007 to 31 Oct 2007)
  • Morgan Stanley & Co. International Plc (no longer approved here)

    FRN 165935

    • CF21 Investment Adviser (1 Dec 2001 to 1 Jan 2007)

Recent activity

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

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