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 1 Mar 2024)
    • Responsible for Insurance Distribution (since 1 Mar 2024)
    • SMF16 Compliance Oversight (since 1 Mar 2024)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Mar 2024)
    • SMF3 Executive Director (since 1 Mar 2024)
    • [FCA CF] Client dealing (since 1 Mar 2024)
  • Sense Network Limited (no longer approved here)

    FRN 465124

    • [FCA CF] Client dealing (9 Dec 2019 to 28 Feb 2024)
    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 28 Feb 2024)
    • CF30 Customer (7 Sep 2017 to 28 Feb 2024)
    • CF1 Director (AR) (7 Sep 2017 to 28 Feb 2024)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (4 Jul 2008 to 6 Sep 2017)

Recent activity

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

No changes recorded yet.