Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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- 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)
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- CF4 Partner (AR) (12 May 2010 to 29 Nov 2013)
- CF30 Customer (12 May 2010 to 17 May 2011)
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- (3)Employed By (12 May 2010 to 29 Nov 2013)
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- CF4 Partner (9 Dec 2004 to 19 May 2010)
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- CF22 Investment Adviser (Trainee) (29 Oct 2003 to 2 Nov 2004)
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- CF21 Investment Adviser (1 Dec 2001 to 30 Oct 2003)
Recent activity
Updates to this individual's record on the FCA register.
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controlled function removed: Employed By at David Wood
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controlled function added: (3)Employed By at David Wood