Where they hold approval

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

    • 7. Giving personal recommendations on long-term care insurance contracts
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (16 Mar 2015 to 8 Dec 2019)
  • TenetConnect Services Limited (no longer approved here)

    FRN 150643

    • CF30 Customer (1 Nov 2007 to 19 Jan 2009)
    • CF1 Director (AR) (18 Jun 2004 to 19 Jan 2009)
    • CF21 Investment Adviser (18 Jun 2004 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (14 Jan 2004 to 26 Apr 2004)
  • Rockford Financial Services Ltd (no longer approved here)

    FRN 228792

    • (2)Employed By (14 Jan 2004 to 26 Apr 2004)
  • Finli (G&P) Ltd (no longer approved here)

    FRN 142752

    • CF22 Investment Adviser (Trainee) (11 Nov 2002 to 31 Oct 2003)

Recent activity

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

No changes recorded yet.