Where they hold approval

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

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 21. Advising or arranging (bringing about) equity release transactions
    • [FCA CF] Functions requiring qualifications (since 19 Nov 2020)
    • [FCA CF] Client dealing (since 19 Nov 2020)
    • Responsible for Insurance Distribution (since 16 Nov 2020)
    • SMF16 Compliance Oversight (since 16 Nov 2020)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 16 Nov 2020)
    • SMF3 Executive Director (since 16 Nov 2020)
    • Responsibility for MCD Intermediation (since 16 Nov 2020)
  • JPRS (South West) Limited (no longer approved here)

    FRN 525567

    • SMF3 Executive Director (9 Dec 2019 to 6 Jan 2021)
    • [FCA CF] Client dealing (9 Dec 2019 to 6 Jan 2021)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 6 Jan 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 24 Nov 2020)
    • Responsible for Insurance Distribution (1 Oct 2018 to 24 Nov 2020)
    • Responsible for Insurance Mediation (1 Dec 2010 to 30 Sep 2018)
    • CF30 Customer (1 Dec 2010 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (1 Dec 2010 to 8 Dec 2019)
    • CF1 Director (1 Dec 2010 to 8 Dec 2019)
  • Excalibur (Financial Services) Ltd (no longer approved here)

    FRN 229912

    • (3)Employed By (22 Jul 2004 to 8 Apr 2005)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF21 Investment Adviser (1 Dec 2001 to 7 Aug 2002)

Recent activity

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

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