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
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Functions requiring qualifications (since 18 Dec 2023)
    • [FCA CF] Client dealing (since 18 Dec 2023)
  • ARGYLE CONSULTING LIMITED (no longer approved here)

    FRN 185561

    • [FCA CF] Client dealing (20 Jul 2021 to 30 Nov 2023)
    • [FCA CF] Functions requiring qualifications (20 Jul 2021 to 30 Nov 2023)
  • Seven Investment Management LLP (no longer approved here)

    FRN 589124

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 9 Jun 2021)
    • CF30 Customer (1 Dec 2018 to 8 Dec 2019)
  • 7IM Investment and Retirement Solutions Limited (no longer approved here)

    FRN 787394

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 9 Jun 2021)
    • CF30 Customer (7 Jun 2019 to 8 Dec 2019)
  • Mearns & Company Limited (no longer approved here)

    FRN 465557

    • CF30 Customer (15 Apr 2013 to 13 Dec 2014)
  • TenetConnect Services Limited (no longer approved here)

    FRN 150643

    • CF30 Customer (16 Jul 2009 to 1 Mar 2010)

Recent activity

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

No changes recorded yet.