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
    • 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] Client dealing (since 6 Jan 2021)
    • Appointed representative dealing with clients for which they require qualification (since 6 Jan 2021)
    • CF1 Director (AR) (since 24 Aug 2020)
    • CF30 Customer (since 24 Aug 2020)
    • Employed By (since 24 Aug 2020)
  • Nationwide Building Society (no longer approved here)

    FRN 106078

    • CF30 Customer (2 Apr 2012 to 6 Mar 2016)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (1 Nov 2007 to 26 Mar 2012)
    • CF21 Investment Adviser (17 Sep 2007 to 31 Oct 2007)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (9 Jun 2004 to 18 Mar 2005)
    • CF22 Investment Adviser (Trainee) (20 Oct 2003 to 9 Jun 2004)

Recent activity

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

No changes recorded yet.