Where they hold approval

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

    • 11. Pension transfer specialist
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 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)
    • SMF3 Executive Director (since 8 Feb 2023)
    • [FCA CF] Functions requiring qualifications (since 29 Nov 2022)
    • [FCA CF] Client dealing (since 29 Nov 2022)
    • [FCA CF] Manager of certification employee (since 29 Nov 2022)
  • FRANCIS CLARK FINANCIAL PLANNING LIMITED (no longer approved here)

    FRN 433591

    • [FCA CF] Client dealing (9 Dec 2019 to 13 Oct 2022)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 13 Oct 2022)
    • CF30 Customer (20 Jan 2016 to 8 Dec 2019)
  • Hansford Bell Financial Planning Ltd (no longer approved here)

    FRN 482388

    • CF30 Customer (16 Mar 2015 to 5 Jan 2016)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (15 Dec 2009 to 10 Sep 2012)

Recent activity

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

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