Last updated
4 days ago
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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)
    • SMF3 Executive Director (since 8 Jan 2024)
    • SMF16 Compliance Oversight (since 8 Jan 2024)
    • Responsible for Insurance Distribution (since 8 Jan 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 8 Jan 2024)
    • [FCA CF] Functions requiring qualifications (since 8 Jan 2024)
    • [FCA CF] Client dealing (since 8 Jan 2024)
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF7 Sole Trader (AR) (31 Oct 2004 to 31 Jan 2007)
  • Mortgage Salad Limited (no longer approved here)

    FRN 566220

    • Appointed representative dealing with clients for which they require qualification (16 Aug 2022 to 14 Dec 2022)
    • [FCA CF] Functions requiring qualifications (16 Aug 2022 to 26 May 2023)
  • TenetConnect Services Limited (no longer approved here)

    FRN 150643

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 2 Jan 2024)
    • CF30 Customer (1 Nov 2007 to 2 Jan 2024)
    • CF1 Director (AR) (25 Jul 2003 to 2 Jan 2024)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Responsible Life Limited (no longer approved here)

    FRN 610205

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Jul 2022)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF30 Customer (22 May 2015 to 8 Nov 2023)
  • Aspire Financial Management Ltd (no longer approved here)

    FRN 568595

    • Employed By (14 May 2015 to 2 Jan 2024)
  • Pat Hutchings (no longer approved here)

    FRN 405941

    • (1)Employed By (31 Oct 2004 to 31 Jan 2007)
  • Oakhurst Financial Services Limited (no longer approved here)

    FRN 226517

    • (1)Employed By (25 Jul 2003 to 2 Jan 2024)
  • Waterside IFA Ltd (no longer approved here)

    FRN 206114

    • Employed By (1 Dec 2001 to 9 Oct 2003)

Recent activity

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

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