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)
    • 13. Giving personal recommendations on and dealing with 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 1 Jan 2020)
    • [FCA CF] Client dealing (since 1 Jan 2020)
    • CF30 Customer (23 Feb 2012 to 8 Dec 2019)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (31 Aug 2010 to 18 Dec 2011)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF30 Customer (26 Mar 2009 to 27 Aug 2010)

Recent activity

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

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