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)
    • [FCA CF] Functions requiring qualifications (since 1 Jul 2022)
    • [FCA CF] Client dealing (since 4 Jan 2022)
  • Quilter Mortgage Planning Limited (no longer approved here)

    FRN 440718

    • CF4 Partner (AR) (4 Mar 2014 to 30 Jan 2021)
  • QUILTER WEALTH LIMITED (no longer approved here)

    FRN 217742

    • CF4 Partner (AR) (18 Feb 2014 to 30 Jan 2021)
    • CF30 Customer (18 Jul 2013 to 30 Jan 2021)
  • The Excell Partnership LLP (no longer approved here)

    FRN 498668

    • Employed By (18 Jul 2013 to 30 Jan 2021)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF1 Director (AR) (7 Oct 2003 to 30 Dec 2003)
    • CF21 Investment Adviser (7 Oct 2003 to 30 Dec 2003)
  • Morton Rose (no longer approved here)

    FRN 213112

    • Employed By (1 Dec 2001 to 1 Sep 2003)

Recent activity

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

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