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
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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 18 Aug 2025)
    • [FCA CF] Client dealing (since 18 Aug 2025)
  • ASCOT LLOYD FINANCIAL PLANNING LIMITED (no longer approved here)

    FRN 144519

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 14 Aug 2025)
    • [FCA CF] Client dealing (9 Dec 2019 to 14 Aug 2025)
    • CF30 Customer (16 Aug 2012 to 8 Dec 2019)
  • 3 Sixty Financial Limited (no longer approved here)

    FRN 186435

    • Employed By (1 Dec 2001 to 10 Mar 2004)

Recent activity

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

No changes recorded yet.