Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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St. James's Place Wealth Management Plc
FRN 195351
- Director of firm who is not a certification employee or a SMF manager (since 24 Oct 2025)
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Pemberton Capital Advisors LLP
FRN 561640
- SMF17 Money Laundering Reporting Officer (MLRO) (since 25 Jul 2025)
- SMF16 Compliance Oversight (since 1 Nov 2024)
- [FCA CF] Material risk taker (since 7 Oct 2024)
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- SMF4 Chief Risk (19 Oct 2021 to 1 Dec 2023)
- SMF16 Compliance Oversight (19 May 2021 to 1 Dec 2023)
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- SMF16 Compliance Oversight (23 Sep 2020 to 1 Dec 2023)
- SMF4 Chief Risk (23 Sep 2020 to 1 Dec 2023)
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- SMF16 Compliance Oversight (23 Sep 2020 to 1 Dec 2023)
- SMF4 Chief Risk (23 Sep 2020 to 1 Dec 2023)
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- SMF16 Compliance Oversight (23 Sep 2020 to 1 Dec 2023)
- SMF4 Chief Risk (23 Sep 2020 to 1 Dec 2023)
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- SMF16 Compliance Oversight (23 Sep 2020 to 1 Dec 2023)
- SMF4 Chief Risk (23 Sep 2020 to 1 Dec 2023)
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- SMF4 Chief Risk (23 Sep 2020 to 1 Dec 2023)
- SMF16 Compliance Oversight (23 Sep 2020 to 1 Dec 2023)
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- SMF16 Compliance Oversight (23 Sep 2020 to 1 Dec 2023)
- SMF4 Chief Risk (23 Sep 2020 to 1 Dec 2023)
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- SMF16 Compliance Oversight (23 Sep 2020 to 1 Dec 2023)
- SMF4 Chief Risk (23 Sep 2020 to 1 Dec 2023)
Recent activity
Updates to this individual's record on the FCA register.
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