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 19 Oct 2020)
    • [FCA CF] Functions requiring qualifications (since 19 Oct 2020)
    • [FCA CF] Client dealing (1 Oct 2019 to 30 Sep 2020)
    • [FCA CF] Functions requiring qualifications (4 Oct 2016 to 30 Sep 2020)
  • 2 Plan Wealth Management Limited (no longer approved here)

    FRN 461598

    • CF30 Customer (23 Jul 2013 to 20 Sep 2016)
  • Phoenix Wealth Services Limited (no longer approved here)

    FRN 465753

    • CF30 Customer (3 Sep 2010 to 17 May 2013)
  • Aviva Administration Limited (no longer approved here)

    FRN 185746

    • CF30 Customer (1 Nov 2007 to 16 Sep 2010)
    • CF21 Investment Adviser (12 May 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (21 Sep 2005 to 12 May 2006)

Recent activity

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

No changes recorded yet.