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
    • 13. Giving personal recommendations on and dealing with derivatives
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 6 Jun 2019)
  • HSBC Global Asset Management (UK) Limited (no longer approved here)

    FRN 122335

    • CF30 Customer (23 Dec 2014 to 7 May 2019)
  • Barratt & Cooke Limited (no longer approved here)

    FRN 428789

    • CF30 Customer (6 Apr 2010 to 23 Oct 2014)

Recent activity

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

No changes recorded yet.