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
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF30 Customer (since 1 Nov 2007)
    • CF21 Investment Adviser (3 Nov 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (27 Jun 2006 to 3 Nov 2006)
    • (1)Employed By (since 19 Feb 2007)
    • (1)Employed By (27 Jun 2006 to 3 Nov 2006)
  • Openwork Limited (no longer approved here)

    FRN 408285

    • CF21 Investment Adviser (1 Jun 2005 to 22 Jun 2006)
  • Maine Financial (no longer approved here)

    FRN 211144

    • (14)Employed By (1 Dec 2001 to 22 Jun 2006)

Recent activity

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

No changes recorded yet.