Where they hold approval

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

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [FCA CF] Client dealing (since 11 Aug 2023)
    • [FCA CF] Functions requiring qualifications (since 11 Aug 2023)
  • DOUGLAS STEERS & COMPANY LIMITED (no longer approved here)

    FRN 705132

    • [FCA CF] Client dealing (3 Apr 2023 to 23 Jun 2023)
    • [FCA CF] Functions requiring qualifications (3 Apr 2023 to 23 Jun 2023)

Recent activity

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

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