Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Functions requiring qualifications (since 24 Aug 2022)
- [FCA CF] Client dealing (since 24 Aug 2022)
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- [FCA CF] Client dealing (9 Dec 2019 to 18 May 2022)
- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 18 May 2022)
- CF30 Customer (17 Feb 2017 to 8 Dec 2019)
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- CF30 Customer (9 Sep 2013 to 3 Feb 2017)
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- CF30 Customer (11 Jun 2012 to 9 Sep 2013)
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- CF30 Customer (14 Sep 2010 to 8 Jun 2012)
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- CF30 Customer (11 Mar 2010 to 27 Aug 2010)
- CF21 Investment Adviser (1 Dec 2001 to 24 Oct 2003)
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- CF30 Customer (4 Jun 2008 to 10 Mar 2010)
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- CF30 Customer (1 Nov 2007 to 27 Apr 2008)
- CF21 Investment Adviser (7 Sep 2004 to 31 Oct 2007)
- CF22 Investment Adviser (Trainee) (4 Nov 2003 to 7 Sep 2004)
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- CF21 Investment Adviser (7 Sep 2004 to 31 Oct 2004)
- CF22 Investment Adviser (Trainee) (4 Nov 2003 to 7 Sep 2004)
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- Employed By (4 Nov 2003 to 27 Apr 2008)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.