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
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (27 May 2015 to 8 Dec 2019)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (21 Sep 2011 to 11 Nov 2012)
    • CF21 Investment Adviser (2 Aug 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (26 Apr 2006 to 2 Aug 2007)

Recent activity

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

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