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)
    • [FCA CF] Client dealing (since 1 Nov 2024)
    • [FCA CF] Functions requiring qualifications (since 1 Nov 2024)
  • Stratagem Financial Planning Limited (no longer approved here)

    FRN 819330

    • SMF3 Executive Director (9 Dec 2019 to 20 May 2025)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 20 May 2025)
    • [FCA CF] Client dealing (9 Dec 2019 to 20 May 2025)
    • CF1 Director (12 Apr 2019 to 8 Dec 2019)
    • CF30 Customer (12 Apr 2019 to 8 Dec 2019)
  • Suttons Independent Financial Advisers Limited (no longer approved here)

    FRN 455848

    • CF21 Investment Adviser (29 Nov 2006 to 14 Aug 2007)
  • Medical & Executive Financial Services (no longer approved here)

    FRN 165731

    • CF21 Investment Adviser (9 Jul 2004 to 22 Dec 2006)
  • Rennie Evans Financial Management Limited (no longer approved here)

    FRN 189082

    • (10)Employed By (18 Oct 2002 to 30 Apr 2003)

Recent activity

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

No changes recorded yet.