Where they hold approval

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

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 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)
    • 9A. Advising on P2P agreements
    • Appointed representative dealing with clients for which they require qualification (since 31 May 2022)
    • CF30 Customer (since 6 May 2022)
    • CF22 Investment Adviser (Trainee) (5 Nov 2002 to 20 Jan 2003)
    • CF1 Director (AR) (5 Nov 2002 to 28 Jan 2003)
    • (4)Employed By (since 6 May 2022)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 31 May 2022)
    • CF30 Customer (1 Nov 2007 to 31 May 2022)
    • CF1 Director (AR) (28 Jul 2006 to 17 Jul 2017)
    • CF22 Investment Adviser (Trainee) (28 Jul 2006 to 31 Oct 2007)
  • Rosemount Financial Solutions (IFA) Limited (no longer approved here)

    FRN 535515

    • Responsible for Insurance Mediation (1 Nov 2011 to 15 Dec 2015)
    • CF1 Director (1 Nov 2011 to 15 Dec 2015)
    • CF10 Compliance Oversight (1 Nov 2011 to 15 Dec 2015)
    • CF11 Money Laundering Reporting (1 Nov 2011 to 15 Dec 2015)
  • QUILTER WEALTH LIMITED (no longer approved here)

    FRN 217742

    • CF1 Director (AR) (1 Jul 2008 to 14 Nov 2008)
  • Rosemount Financial Solutions Ltd (no longer approved here)

    FRN 448935

    • (94)Employed By (31 Oct 2006 to 11 Feb 2015)
  • Quilter Mortgage Planning Limited (no longer approved here)

    FRN 440718

    • CF1 Director (AR) (28 Jul 2006 to 17 Jul 2017)
  • Openwork Limited (no longer approved here)

    FRN 408285

    • CF21 Investment Adviser (1 Jun 2005 to 29 Jul 2006)
    • CF1 Director (AR) (1 Jun 2005 to 29 Jul 2006)

Recent activity

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

No changes recorded yet.