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
    • 9A. Advising on P2P agreements
    • 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 Jan 2020)
    • [FCA CF] Client dealing (since 1 Jan 2020)
    • SMF27 Partner (since 9 Dec 2019)
    • CF30 Customer (2 Aug 2019 to 8 Dec 2019)
    • CF4 Partner (2 Aug 2019 to 8 Dec 2019)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF4 Partner (AR) (12 May 2010 to 29 Nov 2013)
    • CF30 Customer (12 May 2010 to 17 May 2011)
  • David Wood (no longer approved here)

    FRN 413104

    • (3)Employed By (12 May 2010 to 29 Nov 2013)
  • TenetLime Limited (no longer approved here)

    FRN 311266

    • CF4 Partner (9 Dec 2004 to 19 May 2010)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF22 Investment Adviser (Trainee) (29 Oct 2003 to 2 Nov 2004)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF21 Investment Adviser (1 Dec 2001 to 30 Oct 2003)

Recent activity

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

  1. controlled function removed: Employed By at David Wood

  2. controlled function added: (3)Employed By at David Wood