Where they hold approval

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

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 11. Pension transfer specialist
    • SMF16 Compliance Oversight (since 25 Jan 2024)
    • SMF3 Executive Director (since 25 Jan 2024)
    • Responsible for Insurance Distribution (since 25 Jan 2024)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 7 Nov 2024)
    • CF30 Customer (6 Jun 2013 to 8 Dec 2019)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (17 Sep 2010 to 28 Feb 2012)

Recent activity

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

No changes recorded yet.