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
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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 17 Jun 2022)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
    • [FCA CF] Client dealing (since 9 Dec 2020)
    • Responsibility for MCD Intermediation (17 Jun 2022 to 8 Dec 2023)
  • DA Financial Services (Dalston) Limited (no longer approved here)

    FRN 200402

    • Employed By (1 Apr 2020 to 24 Nov 2020)
  • Hargreaves Lansdown Advisory Services Limited (no longer approved here)

    FRN 189627

    • CF30 Customer (31 Dec 2012 to 8 Dec 2019)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (1 Nov 2007 to 13 Jul 2012)
    • CF21 Investment Adviser (12 Jun 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (9 Aug 2004 to 12 Jun 2006)

Recent activity

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

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