Where they hold approval

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

    • (22)Employed By (since 4 Sep 2025)
    • 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)
    • Appointed representative dealing with clients for which they require qualification (since 22 Mar 2022)
    • CF30 Customer (since 31 Dec 2021)
    • [FCA CF] Client dealing (since 1 Mar 2021)
    • [FCA CF] Functions requiring qualifications (1 Mar 2021 to 22 Mar 2022)
    • Appointed representative dealing with clients for which they require qualification (1 Mar 2021 to 2 Mar 2021)
    • (4)Employed By (since 31 Dec 2021)
  • R.A. Cowen & Partners (Financial Services) Limited (no longer approved here)

    FRN 126112

    • [FCA CF] Client dealing (9 Dec 2019 to 14 Sep 2020)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 14 Sep 2020)
    • CF30 Customer (12 Jun 2013 to 14 Sep 2020)
  • Cowens Employee Benefits Ltd (no longer approved here)

    FRN 603624

    • (2)Employed By (18 Jul 2013 to 14 Sep 2020)
  • Harold Wilson Financial Services Limited (no longer approved here)

    FRN 121023

    • CF30 Customer (19 Jan 2009 to 31 May 2013)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF21 Investment Adviser (13 Apr 2005 to 5 Sep 2005)
    • CF22 Investment Adviser (Trainee) (25 Feb 2004 to 13 Apr 2005)

Recent activity

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

  1. controlled function removed: Employed By at Alexander Calder Financial Ltd

  2. controlled function added: (4)Employed By at Alexander Calder Financial Ltd

  3. controlled function removed: Employed By at Cowens Employee Benefits Ltd

  4. controlled function added: (2)Employed By at Cowens Employee Benefits Ltd