Where they hold approval

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

    • 9A. Advising on P2P agreements
    • 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)
    • Appointed representative dealing with clients for which they require qualification (since 13 May 2020)
    • CF30 Customer (since 27 Apr 2020)
    • (5)Employed By (since 27 Apr 2020)
  • MARTIN-REDMAN (UK) LTD (no longer approved here)

    FRN 769483

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 3 Apr 2020)
    • [FCA CF] Client dealing (9 Dec 2019 to 3 Apr 2020)
    • CF30 Customer (1 Aug 2017 to 8 Dec 2019)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF30 Customer (13 Feb 2013 to 6 Nov 2015)
  • Edgar Brooks & Co (no longer approved here)

    FRN 461118

    • Employed By (13 Feb 2013 to 6 Nov 2015)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF30 Customer (1 Nov 2007 to 23 Dec 2010)
    • CF22 Investment Adviser (Trainee) (8 Aug 2007 to 31 Oct 2007)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF21 Investment Adviser (19 Mar 2002 to 11 Jun 2007)

Recent activity

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

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