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)
    • 9A. Advising on P2P agreements
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
    • CF30 Customer (since 6 Mar 2014)
    • CF1 Director (AR) (since 30 Aug 2007)
    • CF30 Customer (1 Nov 2007 to 31 Dec 2012)
    • CF21 Investment Adviser (30 Aug 2007 to 31 Oct 2007)
    • Employed By (since 6 Mar 2007)
    • Employed By (1 Dec 2001 to 1 Aug 2003)

Recent activity

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

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