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 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (2 Jul 2013 to 8 Dec 2019)
  • Phoenix Wealth Services Limited (no longer approved here)

    FRN 465753

    • CF30 Customer (3 Sep 2010 to 17 May 2013)
  • Aviva Administration Limited (no longer approved here)

    FRN 185746

    • CF30 Customer (5 Feb 2008 to 16 Sep 2010)
  • Nationwide Building Society (no longer approved here)

    FRN 106078

    • CF30 Customer (1 Nov 2007 to 2 Jan 2008)
    • CF21 Investment Adviser (28 Aug 2007 to 31 Oct 2007)
  • Zurich Assurance Ltd (no longer approved here)

    FRN 147672

    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 3 Dec 2001)

Recent activity

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

No changes recorded yet.