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
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 11. Pension transfer specialist
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • Responsible for Insurance Distribution (1 Oct 2018 to 9 Jul 2024)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF24 Pension Transfer Specialist (16 Jun 2005 to 31 Oct 2007)
    • CF21 Investment Adviser (16 Jun 2005 to 31 Oct 2007)
    • CF8 Apportionment and Oversight (16 Jun 2005 to 31 Mar 2009)
    • CF11 Money Laundering Reporting (16 Jun 2005 to 1 Sep 2008)
    • Responsible for Insurance Mediation (16 Jun 2005 to 30 Sep 2018)
    • CF10 Compliance Oversight (16 Jun 2005 to 1 Sep 2008)
    • CF1 Director (16 Jun 2005 to 8 Dec 2019)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF1 Director (AR) (6 Mar 2006 to 27 Mar 2006)
    • CF21 Investment Adviser (6 Mar 2006 to 27 Mar 2006)
  • Financial Focus Limited (no longer approved here)

    FRN 227498

    • Employed By (13 Aug 2003 to 27 Mar 2006)

Recent activity

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

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