Where they hold approval

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

    • 14. Managing investments
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Functions requiring qualifications (since 30 Nov 2023)
    • [FCA CF] Client dealing (since 30 Nov 2023)
  • J.M. FINN & CO.LTD (no longer approved here)

    FRN 450754

    • [FCA CF] Functions requiring qualifications (1 Jan 2021 to 13 May 2023)
    • [FCA CF] Client dealing (1 Jan 2021 to 13 May 2023)
    • CF30 Customer (30 Aug 2012 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.