Where they hold approval

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

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 21. Advising or arranging (bringing about) equity release transactions
    • [FCA CF] Functions requiring qualifications (since 12 Apr 2022)
    • [FCA CF] Client dealing (since 12 Apr 2022)
  • Openwork Limited (no longer approved here)

    FRN 408285

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 7 Apr 2022)
    • CF30 Customer (19 Mar 2014 to 7 Apr 2022)
  • Thomas Oliver UK LLP (no longer approved here)

    FRN 501748

    • (19)Employed By (3 Aug 2016 to 7 Apr 2022)
  • Ambasna Wealth Solutions LLP (no longer approved here)

    FRN 214921

    • (4)Employed By (19 Mar 2014 to 3 Aug 2016)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (13 Dec 2012 to 3 Mar 2014)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF30 Customer (2 Apr 2009 to 11 May 2012)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (7 Oct 2008 to 16 Dec 2008)

Recent activity

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

  1. controlled function removed: Employed By at Ambasna Wealth Solutions LLP

  2. controlled function added: (4)Employed By at Ambasna Wealth Solutions LLP