Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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- 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)
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- Employed By (1 Apr 2020 to 24 Nov 2020)
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- CF30 Customer (31 Dec 2012 to 8 Dec 2019)
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- 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.
No changes recorded yet.