Where they hold approval

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

    • 14. Managing investments
    • 9A. Advising on P2P agreements
    • 3. Giving personal recommendations on derivatives
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 17. Administrative functions in relation to managing investments
    • 15. Operating a collective investment scheme or undertaking the activities of a trustee or depositary of a collective investment scheme
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 13. Giving personal recommendations on and dealing with derivatives
    • [FCA CF] Significant management (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Material risk taker (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2013 to 8 Dec 2019)
    • CF4 Partner (1 Nov 2013 to 8 Dec 2019)
    • CF3 Chief Executive (1 Nov 2013 to 8 Dec 2019)
  • Mirabella Financial Services LLP (no longer approved here)

    FRN 415559

    • CF4 Partner (AR) (19 Dec 2012 to 1 Nov 2013)
    • CF30 Customer (1 Oct 2012 to 1 Nov 2013)
  • Calunius Capital LLP (no longer approved here)

    FRN 466152

    • CF30 Customer (1 Nov 2007 to 30 Jun 2010)
    • CF21 Investment Adviser (5 Sep 2007 to 31 Oct 2007)
  • Cooperatieve Rabobank U.A. (no longer approved here)

    FRN 171596

    • CF21 Investment Adviser (4 May 2006 to 26 Feb 2007)
  • The Toronto-Dominion Bank (no longer approved here)

    FRN 124859

    • CF21 Investment Adviser (10 Feb 2003 to 30 Jun 2005)

Recent activity

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

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