Where they hold approval

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

    • 21. Advising or arranging (bringing about) equity release transactions
    • 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
    • Responsible for Insurance Distribution (since 1 Jul 2021)
    • SMF1 Chief Executive (since 11 Mar 2020)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Responsibility for MCD Intermediation (since 22 Sep 2016)
    • CF11 Money Laundering Reporting (6 Jan 2014 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (1 Jan 2009 to 31 Mar 2009)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF1 Director (1 Sep 2007 to 8 Dec 2019)
    • CF10 Compliance Oversight (17 Mar 2006 to 8 Dec 2019)
    • CF21 Investment Adviser (5 Jan 2005 to 31 Oct 2007)
  • The On-Line Partnership Limited (no longer approved here)

    FRN 192638

    • CF1 Director (AR) (20 Apr 2004 to 30 Nov 2004)
    • CF21 Investment Adviser (20 Apr 2004 to 30 Nov 2004)
  • Wendron Street Financial Services Ltd (no longer approved here)

    FRN 221459

    • Employed By (8 Jan 2003 to 30 Nov 2004)

Recent activity

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

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