Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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- SMF16 Compliance Oversight (19 Jan 2022 to 31 Oct 2024)
- Responsible for Insurance Distribution (19 Jan 2022 to 31 Oct 2024)
- SMF27 Partner (9 Dec 2019 to 31 Oct 2024)
- [FCA CF] Client dealing (9 Dec 2019 to 31 Oct 2024)
- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Oct 2024)
- [FCA CF] Manager of certification employee (9 Dec 2019 to 31 Oct 2024)
- [FCA CF] Significant management (9 Dec 2019 to 31 Oct 2024)
- [FCA CF] Material risk taker (9 Dec 2019 to 31 Oct 2024)
- [PRA CF] Key function holder (9 Dec 2019 to 31 Oct 2024)
- CF30 Customer (1 Nov 2007 to 31 Dec 2012)
- CF1 Director (AR) (24 Apr 2003 to 6 Apr 2022)
- CF4 Partner (2 Jan 2002 to 8 Dec 2019)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
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- SMF16 Compliance Oversight (19 Jan 2022 to 31 Oct 2024)
- SMF3 Executive Director (9 Dec 2019 to 31 Oct 2024)
- CF1 Director (6 Apr 2007 to 8 Dec 2019)
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- (1)Employed By (7 Mar 2019 to 31 Oct 2024)
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- (8)Employed By (3 Feb 2016 to 31 Oct 2024)
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- (4)Employed By (23 Jul 2015 to 31 Oct 2024)
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- Employed By (24 Mar 2009 to 31 Oct 2024)
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- Employed By (7 May 2008 to 8 Jul 2009)
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- Employed By (12 Jun 2006 to 31 Oct 2024)
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- (6)Employed By (12 Oct 2005 to 31 Oct 2024)
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- (9)Employed By (24 Apr 2003 to 31 Oct 2024)
Recent activity
Updates to this individual's record on the FCA register.
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controlled function removed: Employed By at B W Financial Services Limited
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controlled function added: (9)Employed By at B W Financial Services Limited