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
    • [FCA CF] Functions requiring qualifications (since 16 Oct 2023)
    • [FCA CF] Functions requiring qualifications (1 Jul 2018 to 3 Feb 2020)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • Appointed representative dealing with clients for which they require qualification (6 Jan 2022 to 31 Jul 2023)
    • CF30 Customer (31 Dec 2021 to 31 Jul 2023)
  • Antony David Earley (no longer approved here)

    FRN 571256

    • (2)Employed By (31 Dec 2021 to 31 Jul 2023)
  • WESLEYAN FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 134753

    • [FCA CF] Client dealing (16 Mar 2020 to 10 Aug 2021)
    • [FCA CF] Functions requiring qualifications (16 Mar 2020 to 10 Aug 2021)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • [FCA CF] Functions requiring qualifications (6 Jun 2016 to 1 Jul 2018)
    • CF30 Customer (14 Mar 2014 to 6 Mar 2016)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • CF30 Customer (11 May 2012 to 30 Jan 2014)
  • Lighthouse Financial Advice Limited (no longer approved here)

    FRN 225502

    • (506)Employed By (11 May 2012 to 30 Jan 2014)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF30 Customer (2 Feb 2011 to 11 Mar 2012)
  • Aviva Administration Limited (no longer approved here)

    FRN 185746

    • CF4 Partner (AR) (13 Jul 2006 to 30 Jul 2007)

Recent activity

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

  1. controlled function removed: Employed By at Antony David Earley

  2. controlled function added: (2)Employed By at Antony David Earley