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
    • Appointed representative dealing with clients for which they require qualification (since 1 May 2021)
    • CF1 Director (AR) (since 22 Mar 2021)
    • CF30 Customer (since 22 Mar 2021)
    • [FCA CF] Functions requiring qualifications (6 Jul 2020 to 30 Apr 2021)
    • [FCA CF] Client dealing (6 Jul 2020 to 30 Apr 2021)
    • CF30 Customer (9 Sep 2013 to 8 Dec 2019)
    • Employed By (since 22 Mar 2021)
  • Prudential Distribution Limited (no longer approved here)

    FRN 194709

    • CF30 Customer (4 Jan 2012 to 9 Sep 2013)
  • ABERDEEN PLATFORM LIMITED (no longer approved here)

    FRN 188796

    • CF22 Investment Adviser (Trainee) (15 Jun 2005 to 1 Jan 2006)
  • HBOS Investment Fund Managers Limited (no longer approved here)

    FRN 119223

    • CF21 Investment Adviser (1 Dec 2001 to 5 Jun 2003)

Recent activity

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

No changes recorded yet.