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 15 Dec 2020)
    • [FCA CF] Client dealing (since 15 Dec 2020)
  • Rutherford Hughes Limited (no longer approved here)

    FRN 807675

    • CF30 Customer (23 Aug 2018 to 23 Nov 2018)
  • Three Counties Limited (no longer approved here)

    FRN 145005

    • CF30 Customer (4 Sep 2015 to 17 Feb 2017)
  • Universal Tax & Wealth LLP (no longer approved here)

    FRN 600488

    • Employed By (29 Jul 2013 to 7 Sep 2016)
  • Perspective (North East) Limited (no longer approved here)

    FRN 150317

    • CF24 Pension Transfer Specialist (1 Dec 2001 to 19 Jul 2004)
    • CF21 Investment Adviser (1 Dec 2001 to 29 Jan 2005)
    • CF1 Director (1 Dec 2001 to 29 Jan 2005)

Recent activity

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

No changes recorded yet.