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
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • Responsible for Insurance Distribution (since 8 Dec 2020)
    • [FCA CF] Client dealing (since 30 Nov 2020)
    • [FCA CF] Functions requiring qualifications (since 30 Nov 2020)
    • SMF16 Compliance Oversight (since 3 Jan 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (6 Mar 2019 to 8 Dec 2019)
    • CF30 Customer (13 Dec 2018 to 8 Dec 2019)
  • HHPG Limited (no longer approved here)

    FRN 191436

    • CF30 Customer (14 Aug 2009 to 31 Dec 2012)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (1 Nov 2007 to 18 Aug 2009)
    • CF21 Investment Adviser (21 Dec 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (11 Jul 2005 to 21 Dec 2006)

Recent activity

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

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