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)
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 1 Nov 2025)
    • [FCA CF] Functions requiring qualifications (since 1 Nov 2025)
  • Prism Financial Advice Limited (no longer approved here)

    FRN 426165

    • [FCA CF] Functions requiring qualifications (1 Jun 2023 to 4 Nov 2025)
    • [FCA CF] Client dealing (1 Jun 2023 to 4 Nov 2025)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF30 Customer (6 Jun 2013 to 17 Jan 2014)
  • Innova Financial Solutions Ltd (no longer approved here)

    FRN 595136

    • Employed By (6 Jun 2013 to 17 Jan 2014)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (23 Dec 2009 to 6 Jun 2013)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (1 Nov 2007 to 2 Nov 2007)
    • CF21 Investment Adviser (17 Sep 2007 to 31 Oct 2007)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (28 Apr 2004 to 15 Oct 2004)
    • CF22 Investment Adviser (Trainee) (15 Aug 2002 to 28 Apr 2004)

Recent activity

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

No changes recorded yet.