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
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (25 Nov 2013 to 8 Dec 2019)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (1 Nov 2007 to 30 Oct 2013)
    • CF21 Investment Adviser (27 Jul 2004 to 30 Jun 2007)
    • CF22 Investment Adviser (Trainee) (10 Jun 2003 to 27 Jul 2004)

Recent activity

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

No changes recorded yet.