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
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • Responsible for Insurance Distribution (since 12 May 2023)
    • SMF16 Compliance Oversight (since 2 Feb 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 1 Sep 2020)
    • SMF3 Executive Director (since 1 Sep 2020)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • CF4 Partner (2 Oct 2019 to 28 Aug 2020)
    • CF11 Money Laundering Reporting (2 Oct 2019 to 28 Aug 2020)
    • CF30 Customer (2 Oct 2019 to 28 Aug 2020)
  • INFORMED CHOICE LIMITED (no longer approved here)

    FRN 171077

    • CF30 Customer (22 Oct 2012 to 7 Dec 2012)
  • TenetConnect Services Limited (no longer approved here)

    FRN 150643

    • CF30 Customer (1 Nov 2007 to 7 Apr 2010)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Tenet Financial Services Limited (no longer approved here)

    FRN 172174

    • Employed By (1 Dec 2001 to 7 Apr 2010)

Recent activity

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

No changes recorded yet.