Where they hold approval

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

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 1 Apr 2025)
    • [FCA CF] Functions requiring qualifications (since 1 Apr 2025)
  • M&G ADVICE PARTNERS LIMITED (no longer approved here)

    FRN 584256

    • [FCA CF] Client dealing (6 Jul 2020 to 14 Feb 2021)
    • [FCA CF] Functions requiring qualifications (6 Jul 2020 to 14 Feb 2021)
    • CF30 Customer (2 Mar 2016 to 8 Dec 2019)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF30 Customer (23 Nov 2011 to 25 Nov 2011)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF30 Customer (13 Jul 2009 to 8 Nov 2011)
  • Legal and General Assurance Society Limited (no longer approved here)

    FRN 117659

    • CF22 Investment Adviser (Trainee) (19 Mar 2007 to 29 Oct 2007)
  • Legal & General (Unit Trust Managers) Limited (no longer approved here)

    FRN 119273

    • CF22 Investment Adviser (Trainee) (19 Mar 2007 to 29 Oct 2007)
  • TSB Bank plc (no longer approved here)

    FRN 191240

    • CF22 Investment Adviser (Trainee) (7 Apr 2004 to 13 Jun 2005)
  • Royal London Mutual Insurance Society, Limited (THE) (no longer approved here)

    FRN 117672

    • CF22 Investment Adviser (Trainee) (17 Oct 2003 to 10 Feb 2004)
  • Royal London Unit Trust Managers Limited (no longer approved here)

    FRN 144037

    • CF22 Investment Adviser (Trainee) (17 Oct 2003 to 10 Feb 2004)
  • Royal London Savings Limited (no longer approved here)

    FRN 191237

    • CF22 Investment Adviser (Trainee) (17 Oct 2003 to 10 Feb 2004)

Recent activity

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

No changes recorded yet.