Where they hold approval

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

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 11. Pension transfer specialist
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 8 Oct 2021)
    • CF1 Director (AR) (since 8 Oct 2021)
    • CF30 Customer (since 8 Oct 2021)
    • Appointed representative dealing with clients for which they require qualification (since 8 Oct 2021)
  • Quilter Financial Limited (no longer approved here)

    FRN 497604

    • Responsible for Insurance Distribution (27 Feb 2020 to 22 Jul 2021)
    • CF1 Director (AR) (4 Jul 2018 to 22 Jul 2021)
    • CF30 Customer (15 Feb 2013 to 22 Jul 2021)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 1 Dec 2020)
  • Henderson Stone Asset Management Limited (no longer approved here)

    FRN 811915

    • (6)Employed By (21 Jun 2018 to 22 Jul 2021)
  • Henderson Stone & Co Ltd (no longer approved here)

    FRN 226516

    • (47)Employed By (15 Feb 2013 to 22 Jul 2021)
  • TSB Bank plc (no longer approved here)

    FRN 191240

    • CF30 Customer (1 Nov 2007 to 11 Nov 2012)
    • CF21 Investment Adviser (26 Jul 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (13 Feb 2006 to 26 Jul 2007)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (1 Dec 2001 to 18 Nov 2005)

Recent activity

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

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