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] Functions requiring qualifications (since 13 Dec 2025)
    • [FCA CF] Client dealing (since 12 Dec 2025)
  • EIS FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 401581

    • [FCA CF] Functions requiring qualifications (15 Feb 2021 to 19 Mar 2024)
    • [FCA CF] Client dealing (28 Jan 2021 to 19 Mar 2024)
    • CF30 Customer (27 Sep 2017 to 8 Dec 2019)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF30 Customer (8 Sep 2008 to 21 Apr 2013)

Recent activity

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

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