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)
    • [FCA CF] Functions requiring qualifications (since 5 Mar 2021)
    • [FCA CF] Client dealing (since 5 Mar 2021)
    • CF30 Customer (13 Sep 2018 to 8 Dec 2019)
  • RPG Consulting Limited (no longer approved here)

    FRN 190539

    • CF30 Customer (2 Jul 2015 to 31 Jul 2018)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF30 Customer (19 Sep 2012 to 18 May 2015)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (1 Nov 2007 to 30 Sep 2012)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.