Where they hold approval

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

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • Responsible for Insurance Mediation (since 22 Apr 2024)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsibility for MCD Intermediation (since 21 Mar 2016)
    • CF10 Compliance Oversight (9 Oct 2018 to 8 Dec 2019)
    • CF1 Director (31 Oct 2004 to 8 Dec 2019)
  • Legal and General Assurance Society Limited (no longer approved here)

    FRN 117659

    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 1 Feb 2002)
  • Legal & General (Unit Trust Managers) Limited (no longer approved here)

    FRN 119273

    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 1 Feb 2002)

Recent activity

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

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