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
    • 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
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [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 3 Jun 2016)
    • CF30 Customer (since 3 Jun 2016)
    • Employed By (since 3 Jun 2016)
    • Employed By (30 Jul 2010 to 20 May 2016)
  • Richmond Financial Management (no longer approved here)

    FRN 178016

    • (4)Employed By (30 Oct 2013 to 20 May 2016)
  • Falcon Financial Advice Limited (no longer approved here)

    FRN 401814

    • (67)Employed By (26 Sep 2011 to 5 Oct 2011)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • CF1 Director (AR) (1 Jun 2011 to 20 May 2016)
    • CF30 Customer (1 Apr 2011 to 17 May 2016)

Recent activity

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

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