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
    • Appointed representative dealing with clients for which they require qualification (since 1 Aug 2020)
    • [FCA CF] Functions requiring qualifications (7 Sep 2020 to 14 Feb 2021)
    • [FCA CF] Client dealing (7 Sep 2020 to 14 Feb 2021)
    • CF1 Director (AR) (30 Jun 2020 to 9 Apr 2025)
    • CF30 Customer (30 Jun 2020 to 9 Apr 2025)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (15 Feb 2011 to 15 Dec 2014)
  • Clydesdale Bank Plc (no longer approved here)

    FRN 121873

    • CF30 Customer (1 Nov 2007 to 9 Dec 2010)
    • CF21 Investment Adviser (28 Dec 2005 to 31 Oct 2007)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF21 Investment Adviser (1 Dec 2001 to 2 Jul 2004)

Recent activity

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

No changes recorded yet.