Where they hold approval

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

    • SMF16 Compliance Oversight (since 11 Aug 2025)
    • Responsible for Insurance Distribution (since 11 Aug 2025)
    • SMF3 Executive Director (since 11 Aug 2025)
    • 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
    • 9A. Advising on P2P agreements
    • 11. Pension transfer specialist
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • SMF16 Compliance Oversight (since 1 Jun 2024)
    • Responsible for Insurance Distribution (since 1 Jun 2024)
    • [FCA CF] Manager of certification employee (since 12 Jan 2022)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF1 Director (31 Mar 2016 to 8 Dec 2019)
    • CF30 Customer (3 Dec 2012 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (4 Aug 2005 to 10 Aug 2007)
    • CF10 Compliance Oversight (4 Aug 2005 to 10 Aug 2007)
    • CF21 Investment Adviser (22 Mar 2004 to 29 Dec 2006)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (2 Dec 2011 to 2 Dec 2012)
  • A J Steer & Co Ltd (no longer approved here)

    FRN 200606

    • (5)Employed By (14 Dec 2007 to 2 Dec 2012)
  • The On-Line Partnership Limited (no longer approved here)

    FRN 192638

    • CF30 Customer (1 Nov 2007 to 23 Jun 2008)
    • CF21 Investment Adviser (16 Mar 2007 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.