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
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Functions requiring qualifications (since 10 Dec 2019)
    • [FCA CF] Client dealing (since 10 Dec 2019)
  • Succession Financial Management Limited (no longer approved here)

    FRN 225831

    • CF30 Customer (11 Feb 2014 to 7 Apr 2016)
  • SUCCESSION WEALTH MANAGEMENT LIMITED (no longer approved here)

    FRN 588378

    • CF30 Customer (19 Aug 2013 to 8 Dec 2019)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (15 Mar 2010 to 30 Jul 2010)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (1 Nov 2007 to 22 May 2009)
    • CF21 Investment Adviser (17 Sep 2007 to 31 Oct 2007)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF21 Investment Adviser (1 Dec 2001 to 16 Jun 2006)

Recent activity

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

No changes recorded yet.