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)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 2 May 2025)
    • SMF27 Partner (since 19 Nov 2021)
    • [FCA CF] Functions requiring qualifications (since 1 Oct 2021)
    • [FCA CF] Client dealing (since 1 Oct 2021)
    • CF30 Customer (11 Dec 2017 to 8 Dec 2019)
  • Newton-Barr Limited (no longer approved here)

    FRN 413888

    • CF30 Customer (11 Jan 2011 to 11 Dec 2017)
    • CF21 Investment Adviser (14 Jan 2005 to 8 Jun 2005)
  • Quilter Financial Planning Solutions Limited (no longer approved here)

    FRN 184591

    • CF30 Customer (1 Nov 2007 to 17 Jan 2011)
    • CF21 Investment Adviser (12 Aug 2005 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (7 Jun 2005 to 12 Aug 2005)

Recent activity

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

No changes recorded yet.