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 9 Dec 2019)
    • CF1 Director (AR) (since 28 Mar 2014)
    • CF30 Customer (since 1 Nov 2007)
    • CF4 Partner (AR) (4 Apr 2013 to 19 Mar 2014)
    • CF1 Director (AR) (13 Oct 2004 to 26 May 2011)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • (2)Employed By (since 5 Jul 2011)
  • The City Mortgage Company Ltd (no longer approved here)

    FRN 193957

    • (1)Employed By (13 Oct 2004 to 23 Jun 2011)
  • ST. JAMES'S PLACE UNIT TRUST GROUP LIMITED (no longer approved here)

    FRN 122472

    • CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
  • ST. JAMES'S PLACE UK PLC (no longer approved here)

    FRN 150026

    • CF21 Investment Adviser (1 Dec 2001 to 3 Jun 2003)
  • Russell, Fox & Nori (no longer approved here)

    FRN 401777

    • (3)Employed By (1 Dec 2001 to 23 Jun 2011)

Recent activity

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

  1. controlled function added: (1)Employed By at The City Mortgage Company Ltd