Where they hold approval

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

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 9A. Advising on P2P agreements
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 11. Pension transfer specialist
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF1 Director (AR) (since 27 Oct 2014)
    • CF30 Customer (since 27 Oct 2014)
    • (1)Employed By (since 9 Oct 2014)
  • RAYMOND JAMES INVESTMENT SERVICES LIMITED (no longer approved here)

    FRN 194713

    • CF30 Customer (1 Nov 2007 to 13 Jun 2016)
    • CF1 Director (AR) (25 Jun 2003 to 13 Jun 2016)
    • CF24 Pension Transfer Specialist (4 Feb 2003 to 31 Oct 2007)
    • CF21 Investment Adviser (4 Feb 2003 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.