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 9 Jan 2026)
    • [FCA CF] Functions requiring qualifications (since 9 Jan 2026)
    • 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 28 Sep 2023)
    • [FCA CF] Client dealing (since 28 Sep 2023)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (3 Apr 2009 to 23 May 2012)
  • Forvis Mazars Financial Planning Limited (no longer approved here)

    FRN 182644

    • CF21 Investment Adviser (9 Jun 2005 to 2 Apr 2007)
  • Grant Thornton UK LLP (no longer approved here)

    FRN 231791

    • CF21 Investment Adviser (1 Jul 2004 to 20 May 2005)
    • CF26 Customer Trading (1 Jul 2004 to 20 May 2005)

Recent activity

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

No changes recorded yet.