Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

    • (11)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • (12)4. Giving personal recommendations on retail investment products which are not broker funds
    • (13)[FCA CF] Client dealing (since 16 Mar 2026)
    • (14)[FCA CF] Functions requiring qualifications (since 16 Mar 2026)
    • (4)4. Giving personal recommendations on retail investment products which are not broker funds
    • (3)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • (2)[FCA CF] Functions requiring qualifications (16 Mar 2026 to 31 Mar 2026)
    • (1)[FCA CF] Client dealing (16 Mar 2026 to 31 Mar 2026)
    • 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 16 Mar 2026)
    • [FCA CF] Client dealing (since 16 Mar 2026)
  • Quilter Cheviot Limited (no longer approved here)

    FRN 124259

    • [FCA CF] Functions requiring qualifications (16 Apr 2025 to 29 Nov 2025)
    • [FCA CF] Client dealing (16 Apr 2025 to 29 Nov 2025)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • Appointed representative dealing with clients for which they require qualification (12 Dec 2022 to 16 Apr 2025)
    • CF30 Customer (16 Nov 2022 to 16 Apr 2025)
  • HSBC UK Bank Plc (no longer approved here)

    FRN 765112

    • [FCA CF] Functions requiring qualifications (1 Jul 2018 to 15 Sep 2022)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • [FCA CF] Functions requiring qualifications (19 Oct 2016 to 1 Jul 2018)

Recent activity

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

  1. controlled function removed: [FCA CF] Client dealing at J M WAKELING INDEPENDENT FINANCIAL ADVISERS LIMITED

  2. controlled function removed: 4. Giving personal recommendations on retail investment products which are not broker funds at J M WAKELING INDEPENDENT FINANCIAL ADVISERS LIMITED

  3. controlled function removed: [FCA CF] Functions requiring qualifications at J M WAKELING INDEPENDENT FINANCIAL ADVISERS LIMITED

  4. controlled function removed: 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met) at J M WAKELING INDEPENDENT FINANCIAL ADVISERS LIMITED

  5. controlled function added: (1)[FCA CF] Client dealing at J M WAKELING INDEPENDENT FINANCIAL ADVISERS LIMITED

  6. controlled function added: (2)[FCA CF] Functions requiring qualifications at J M WAKELING INDEPENDENT FINANCIAL ADVISERS LIMITED

  7. controlled function added: (3)6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met) at J M WAKELING INDEPENDENT FINANCIAL ADVISERS LIMITED

  8. controlled function added: (4)4. Giving personal recommendations on retail investment products which are not broker funds at J M WAKELING INDEPENDENT FINANCIAL ADVISERS LIMITED

  9. controlled function removed: [FCA CF] Client dealing at The Broughton Wilkins Partnership Ltd

  10. controlled function removed: 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met) at The Broughton Wilkins Partnership Ltd