Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 4 Sep 2023)
    • [FCA CF] Functions requiring qualifications (since 4 Sep 2023)
    • [FCA CF] Client dealing (9 Dec 2019 to 9 May 2023)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 9 May 2023)
    • CF30 Customer (18 Sep 2015 to 8 Dec 2019)
  • Aviva Investors UK Fund Services Limited (no longer approved here)

    FRN 119310

    • CF21 Investment Adviser (1 Dec 2001 to 5 Dec 2003)

Recent activity

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

No changes recorded yet.