Where they hold approval

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

    • 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
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 9A. Advising on P2P agreements
    • CF1 Director (AR) (since 6 Sep 2024)
    • [FCA CF] Client dealing (since 20 Oct 2023)
    • Appointed representative dealing with clients for which they require qualification (since 20 Oct 2023)
    • CF30 Customer (since 13 Apr 2023)
    • (1)Employed By (since 13 Apr 2023)
  • Plutus Wealth Management LLP (no longer approved here)

    FRN 541499

    • [FCA CF] Client dealing (9 Dec 2019 to 5 Oct 2023)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 5 Oct 2023)
    • CF30 Customer (24 Feb 2015 to 8 Dec 2019)
  • ASFC LLP (no longer approved here)

    FRN 518468

    • CF30 Customer (21 Oct 2014 to 30 Jan 2015)
  • A S Financial Limited (no longer approved here)

    FRN 527263

    • CF30 Customer (16 Nov 2012 to 20 Oct 2014)

Recent activity

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

No changes recorded yet.