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
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • Appointed representative dealing with clients for which they require qualification (since 14 Mar 2023)
    • CF1 Director (AR) (since 15 Feb 2023)
    • CF30 Customer (since 15 Feb 2023)
    • [FCA CF] Functions requiring qualifications (1 Feb 2023 to 14 Mar 2023)
    • [FCA CF] Client dealing (1 Feb 2023 to 14 Mar 2023)
    • (2)Employed By (since 15 Feb 2023)
  • Cavendish Brooke Limited (no longer approved here)

    FRN 215726

    • Employed By (21 Jul 2014 to 8 Aug 2019)
  • Openwork Limited (no longer approved here)

    FRN 408285

    • CF30 Customer (21 Jul 2014 to 8 Aug 2019)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (5 Dec 2013 to 11 Sep 2014)
  • Nationwide Building Society (no longer approved here)

    FRN 106078

    • CF30 Customer (16 Aug 2010 to 2 Dec 2013)

Recent activity

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

No changes recorded yet.