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 17 Nov 2020)
    • [FCA CF] Client dealing (since 17 Nov 2020)
    • SMF3 Executive Director (since 14 Aug 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 14 Aug 2020)
    • Responsible for Insurance Distribution (since 14 Aug 2020)
  • Quilter Financial Limited (no longer approved here)

    FRN 497604

    • CF1 Director (AR) (6 Nov 2009 to 30 Jun 2017)
    • CF30 Customer (6 Nov 2009 to 30 Jun 2017)
  • Beaufort Financial Planning (Mansfield) Ltd (no longer approved here)

    FRN 511403

    • Employed By (6 Nov 2009 to 3 Dec 2020)
  • Ashwood Law Professional Link (JVC1) Limited (no longer approved here)

    FRN 223794

    • Employed By (6 Mar 2009 to 19 Mar 2009)

Recent activity

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

No changes recorded yet.