Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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St. James's Place Wealth Management Plc
FRN 195351
- CF1 Director (AR) (since 6 Sep 2012)
- Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 1 Jun 2022)
- CF30 Customer (6 Sep 2012 to 1 Jun 2022)
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TPC Witney Limited
FRN 586770
- Employed By (since 6 Sep 2012)
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- CF30 Customer (1 Nov 2007 to 13 Jul 2012)
- Responsible for Insurance Mediation (14 Jan 2005 to 28 Jul 2009)
- CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
- CF10 Compliance Oversight (1 Dec 2001 to 28 Jul 2009)
- CF11 Money Laundering Reporting (1 Dec 2001 to 28 Jul 2009)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
- CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
- CF1 Director (1 Dec 2001 to 28 Jul 2009)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.