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)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (12 Sep 2019 to 8 Dec 2019)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (28 Jun 2010 to 19 Jul 2019)
    • CF1 Director (AR) (28 Jun 2010 to 8 Jan 2013)
  • Foster Denovo Limited (no longer approved here)

    FRN 462728

    • CF30 Customer (16 Nov 2009 to 14 Jul 2010)

Recent activity

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

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