Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Client dealing (since 2 Feb 2022)
- [FCA CF] Functions requiring qualifications (since 2 Feb 2022)
- [FCA CF] Functions requiring qualifications (7 Mar 2021 to 5 Aug 2021)
- [FCA CF] Manager of certification employee (7 Mar 2021 to 1 Nov 2021)
- [FCA CF] Client dealing (7 Mar 2021 to 5 Aug 2021)
- CF30 Customer (24 Sep 2019 to 8 Dec 2019)
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- CF30 Customer (9 Oct 2012 to 9 Aug 2013)
- CF21 Investment Adviser (14 Jan 2005 to 30 Dec 2005)
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- CF30 Customer (1 Nov 2007 to 9 Aug 2013)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.