Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

    • 9A. Advising on P2P agreements
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF30 Customer (since 17 Oct 2012)
    • (1)Employed By (since 17 Oct 2012)
    • (2)Employed By (8 Dec 2004 to 29 Sep 2009)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (1 Nov 2007 to 29 Sep 2009)
    • CF21 Investment Adviser (13 May 2004 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (15 Oct 2003 to 13 May 2004)
  • Coutts & Company (no longer approved here)

    FRN 122287

    • CF21 Investment Adviser (3 Dec 2002 to 4 Dec 2003)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 3 Dec 2002)

Recent activity

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

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