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
    • 11. Pension transfer specialist
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 9A. Advising on P2P agreements
    • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF1 Director (AR) (since 22 Jul 2011)
    • CF30 Customer (since 16 Oct 2009)
    • (1)Employed By (since 16 Oct 2009)
  • Mercer Limited (no longer approved here)

    FRN 121935

    • CF22 Investment Adviser (Trainee) (31 Aug 2005 to 30 Nov 2006)
  • Doherty Pension & Investment Consultancy Limited (no longer approved here)

    FRN 186761

    • CF21 Investment Adviser (25 Oct 2002 to 19 Mar 2004)

Recent activity

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

No changes recorded yet.