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
    • Sole trader dealing with clients for which they require qualification (since 11 Jul 2022)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (2 Jan 2007 to 31 Oct 2007)
    • CF10 Compliance Oversight (2 Jan 2007 to 8 Dec 2019)
  • Sandringham Financial Management 2249 (no longer approved here)

    FRN 179818

    • (1)Employed By (1 Oct 1998 to 20 Dec 2006)

Recent activity

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

No changes recorded yet.