Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Marchmaine
FRN 196146
- 14. Managing investments
- 17. Administrative functions in relation to managing investments
- 18. Administrative functions in relation to effecting or carrying out contracts of insurance which are life policies
- 19. Administrative functions in relation to the operation of stakeholder pension schemes
- 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)
- Sole trader dealing with clients for which they require qualification (since 28 Apr 2021)
- SMF16 Compliance Oversight (since 9 Dec 2019)
- Responsible for Insurance Distribution (since 1 Oct 2018)
- CF30 Customer (25 Mar 2013 to 8 Dec 2019)
- Responsible for Insurance Mediation (14 Jan 2005 to 30 Sep 2018)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
- CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.