Last updated
3 weeks ago
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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
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF30 Customer (since 25 Sep 2019)
    • (1)Employed By (since 25 Sep 2019)
  • Australia and New Zealand Banking Group Ltd (no longer approved here)

    FRN 114151

    • CF30 Customer (1 Oct 2011 to 6 Mar 2016)
  • The Bank of Nova Scotia (no longer approved here)

    FRN 141308

    • CF30 Customer (1 Nov 2007 to 30 Apr 2008)
    • CF21 Investment Adviser (8 Jun 2006 to 31 Oct 2007)
  • The Toronto-Dominion Bank (no longer approved here)

    FRN 124859

    • CF21 Investment Adviser (1 Dec 2001 to 5 Jun 2006)
  • TD Bank Europe Limited (no longer approved here)

    FRN 165556

    • CF21 Investment Adviser (1 Dec 2001 to 5 Jun 2006)

Recent activity

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

No changes recorded yet.