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
    • 21. Advising or arranging (bringing about) equity release transactions
    • 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)
    • [FCA CF] Functions requiring qualifications (since 10 Dec 2019)
    • [FCA CF] Client dealing (since 10 Dec 2019)
    • CF30 Customer (19 Jun 2012 to 8 Dec 2019)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF30 Customer (19 May 2010 to 11 Sep 2012)
  • Capital Planning Partners Ltd (no longer approved here)

    FRN 505434

    • Employed By (19 May 2010 to 11 Sep 2012)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (11 Jan 2010 to 4 Apr 2010)
  • Hartington Financial Consultancy Limited (no longer approved here)

    FRN 416298

    • (1)Employed By (11 Jan 2010 to 4 Apr 2010)

Recent activity

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

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