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
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (23 Oct 2018 to 8 Dec 2019)
  • Aspire Financial Management Ltd (no longer approved here)

    FRN 568595

    • Employed By (25 Mar 2013 to 8 Dec 2019)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF30 Customer (23 Feb 2011 to 19 Oct 2018)
  • Merchant House Financial Services Ltd (no longer approved here)

    FRN 538416

    • Employed By (23 Feb 2011 to 8 Dec 2019)
  • Lighthouse Advisory Services Limited (no longer approved here)

    FRN 195199

    • CF21 Investment Adviser (1 Nov 2002 to 28 Mar 2003)
  • Canada Life Limited (no longer approved here)

    FRN 110394

    • CF21 Investment Adviser (1 Dec 2001 to 1 Nov 2002)

Recent activity

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

No changes recorded yet.