Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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- 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 Apr 2026)
- [FCA CF] Client dealing (since 13 Apr 2026)
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- CF30 Customer (30 Apr 2014 to 29 Apr 2015)
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- CF22 Investment Adviser (Trainee) (25 Jan 2002 to 23 Jan 2002)
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- CF21 Investment Adviser (1 Dec 2001 to 10 Jan 2002)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.