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
    • [FCA CF] Functions requiring qualifications (since 1 Jul 2018)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • [FCA CF] Functions requiring qualifications (21 Jul 2016 to 1 Jul 2018)
    • CF30 Customer (20 Feb 2014 to 6 Mar 2016)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (1 Nov 2007 to 2 May 2008)
    • CF21 Investment Adviser (17 Sep 2007 to 31 Oct 2007)
  • Liverpool Victoria Financial Services Limited (no longer approved here)

    FRN 110035

    • CF21 Investment Adviser (1 Dec 2001 to 24 Jun 2005)
  • Liverpool Victoria Life Company Limited (no longer approved here)

    FRN 110423

    • CF21 Investment Adviser (1 Dec 2001 to 24 Jun 2005)

Recent activity

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

No changes recorded yet.