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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • CF30 Customer (since 14 Apr 2026)
    • Appointed representative dealing with clients for which they require qualification (since 17 Feb 2022)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (10 Nov 2014 to 8 Dec 2019)
    • (2)Employed By (since 2 Feb 2026)
    • (12)Employed By (1 Jun 2020 to 8 Dec 2019)
  • Ralli Financial Services Limited (no longer approved here)

    FRN 967224

    • (8)Employed By (20 Jan 2022 to 8 Dec 2019)
  • Frenkel Topping Associates Limited (no longer approved here)

    FRN 759456

    • (7)Employed By (15 Sep 2021 to 8 Dec 2019)
  • ExpressFT Limited (no longer approved here)

    FRN 796964

    • Employed By (15 Sep 2021 to 8 Dec 2019)
  • Aspire + Wealth Management Limited (no longer approved here)

    FRN 914141

    • (8)Employed By (15 Sep 2021 to 8 Dec 2019)
  • Frenkel Topping Financial Management Services Limited (no longer approved here)

    FRN 914777

    • Employed By (15 Sep 2021 to 8 Dec 2019)
  • HCC Investment Solutions Limited (no longer approved here)

    FRN 919325

    • Employed By (15 Sep 2021 to 8 Dec 2019)
  • Quilter Financial Limited (no longer approved here)

    FRN 497604

    • CF30 Customer (3 Aug 2010 to 31 Jul 2014)
  • Warriner & Co Limited (no longer approved here)

    FRN 528690

    • Employed By (3 Aug 2010 to 31 Jul 2014)

Recent activity

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

  1. controlled function removed: Employed By at Ralli Financial Services Limited

  2. controlled function added: (8)Employed By at Ralli Financial Services Limited

  3. controlled function removed: Employed By at Frenkel Topping Associates Limited

  4. controlled function added: (7)Employed By at Frenkel Topping Associates Limited

  5. controlled function removed: Employed By at Forte Wealth Management Limited

  6. controlled function added: (12)Employed By at Forte Wealth Management Limited

  7. controlled function added: (2)Employed By at Forte Wealth Management Limited

  8. controlled function removed: Employed By at Aspire + Wealth Management Limited

  9. controlled function added: (8)Employed By at Aspire + Wealth Management Limited