Where they hold approval

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

    • Director of firm who is not a certification employee or a SMF manager (since 6 Dec 2021)
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Material risk taker (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (22 Sep 2015 to 8 Dec 2019)
  • MHA Wealth Limited (no longer approved here)

    FRN 143715

    • CF30 Customer (8 May 2009 to 31 Oct 2015)
  • THOMAS GRANT & COMPANY LIMITED (no longer approved here)

    FRN 163296

    • CF30 Customer (1 Nov 2007 to 1 May 2009)
    • CF27 Investment Management (15 Jul 2002 to 31 Oct 2007)
    • CF26 Customer Trading (15 Jul 2002 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.