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
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (23 May 2014 to 8 Dec 2019)
  • Clydesdale Bank Plc (no longer approved here)

    FRN 121873

    • CF30 Customer (17 Jun 2011 to 12 Dec 2012)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (15 Dec 2009 to 5 Jan 2010)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (1 Nov 2007 to 15 Dec 2007)
    • CF22 Investment Adviser (Trainee) (9 Jan 2004 to 19 Mar 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 9 Jan 2004)

Recent activity

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

No changes recorded yet.