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] Functions requiring qualifications (since 27 Jul 2020)
    • [FCA CF] Client dealing (since 27 Jul 2020)
    • CF30 Customer (16 Nov 2018 to 8 Dec 2019)
  • Quilter Financial Limited (no longer approved here)

    FRN 497604

    • CF30 Customer (1 Jul 2016 to 16 Nov 2018)
  • Continuum (Financial Services) LLP (no longer approved here)

    FRN 617867

    • Employed By (1 Jul 2016 to 16 Nov 2018)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF30 Customer (10 Dec 2007 to 22 Jan 2015)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF21 Investment Adviser (17 Sep 2007 to 1 Oct 2007)
  • HBOS Investment Fund Managers Limited (no longer approved here)

    FRN 119223

    • CF21 Investment Adviser (25 Mar 2003 to 5 Jun 2003)
    • CF22 Investment Adviser (Trainee) (4 Dec 2002 to 25 Mar 2003)
  • Phoenix Life Limited (no longer approved here)

    FRN 110418

    • CF21 Investment Adviser (17 Jun 2002 to 11 Oct 2002)
    • CF22 Investment Adviser (Trainee) (4 Jan 2002 to 17 Jun 2002)
  • Columbia Threadneedle Fund Management Limited (no longer approved here)

    FRN 121940

    • CF21 Investment Adviser (17 Jun 2002 to 1 Jul 2002)
    • CF22 Investment Adviser (Trainee) (4 Jan 2002 to 17 Jun 2002)

Recent activity

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

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