Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
- 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 14. Managing investments
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 8. Giving personal recommendations on investments in the course of corporate finance business
- 10. Broker fund adviser
- [FCA CF] Client dealing (since 22 May 2023)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- SMF1 Chief Executive (since 9 Dec 2019)
- SMF3 Executive Director (since 9 Dec 2019)
- CF1 Director (AR) (17 Apr 2020 to 10 Feb 2023)
- CF1 Director (3 Feb 2017 to 8 Dec 2019)
- CF3 Chief Executive (3 Feb 2017 to 8 Dec 2019)
- CF30 Customer (3 Feb 2017 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.