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
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF1 Director (AR) (since 30 Oct 2012)
    • CF30 Customer (since 30 Oct 2012)
    • CF29 Significant management (1 Nov 2007 to 16 Jun 2011)
    • CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 31 Oct 2007)
    • (3)Employed By (since 30 Oct 2012)
  • ST. JAMES'S PLACE UNIT TRUST GROUP LIMITED (no longer approved here)

    FRN 122472

    • CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 3 Jun 2003)
  • ST. JAMES'S PLACE UK PLC (no longer approved here)

    FRN 150026

    • CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 3 Jun 2003)

Recent activity

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

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