Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 27 Nov 2024)
    • [FCA CF] Client dealing (since 27 Nov 2024)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 5 Dec 2024)
    • CF1 Director (AR) (18 Oct 2012 to 5 Dec 2024)
    • CF30 Customer (14 May 2010 to 5 Dec 2024)
  • Legal and General Assurance Society Limited (no longer approved here)

    FRN 117659

    • CF21 Investment Adviser (30 Dec 2004 to 29 Oct 2007)
  • Legal & General (Unit Trust Managers) Limited (no longer approved here)

    FRN 119273

    • CF21 Investment Adviser (30 Dec 2004 to 29 Oct 2007)

Recent activity

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

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