Where they hold approval

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

    • 9A. Advising on P2P agreements
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or 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)
    • [FCA CF] Client dealing (since 29 Oct 2025)
    • Appointed representative dealing with clients for which they require qualification (since 29 Oct 2025)
    • CF30 Customer (since 28 Oct 2025)
    • Employed By (since 28 Oct 2025)
  • ST. JAMES'S PLACE INVESTMENT MANAGEMENT LIMITED (no longer approved here)

    FRN 155241

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 9 Jul 2025)
    • [FCA CF] Client dealing (9 Dec 2019 to 9 Jul 2025)
    • CF30 Customer (2 Aug 2019 to 8 Dec 2019)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • [FCA CF] Functions requiring qualifications (7 Mar 2016 to 3 Jul 2019)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (1 Nov 2007 to 11 Nov 2012)
    • CF21 Investment Adviser (17 Sep 2007 to 31 Oct 2007)

Recent activity

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

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