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
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 9A. Advising on P2P agreements
    • 11. Pension transfer specialist
    • Director of firm who is not a certification employee or a SMF manager (since 9 Dec 2019)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF1 Director (AR) (since 30 Jan 2015)
    • CF30 Customer (since 18 Dec 2012)
    • (4)Employed By (since 18 Dec 2012)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (9 Jun 2010 to 11 Sep 2012)

Recent activity

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

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