Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Functions requiring qualifications (since 7 Mar 2021)
- [FCA CF] Client dealing (since 7 Mar 2021)
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- CF30 Customer (1 Nov 2007 to 23 Nov 2012)
- CF22 Investment Adviser (Trainee) (27 Oct 2005 to 31 Oct 2007)
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- CF21 Investment Adviser (2 Feb 2005 to 10 Nov 2005)
- CF22 Investment Adviser (Trainee) (1 Apr 2003 to 2 Feb 2005)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.