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
    • [FCA CF] Client dealing (since 1 Jul 2025)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (7 Oct 2021 to 4 Jul 2022)
    • CF30 Customer (14 Aug 2015 to 8 Dec 2019)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (1 Nov 2007 to 15 Dec 2007)
    • CF21 Investment Adviser (27 Aug 2003 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (10 Feb 2003 to 27 Aug 2003)
  • Countrywide Assured Plc (no longer approved here)

    FRN 141916

    • CF21 Investment Adviser (1 Dec 2001 to 1 Feb 2002)

Recent activity

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

No changes recorded yet.