Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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- 11. Pension transfer specialist
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 7. Giving personal recommendations on long-term care insurance contracts
- 9A. Advising on P2P agreements
- SMF16 Compliance Oversight (since 9 Sep 2025)
- [FCA CF] Significant management (since 1 Sep 2025)
- [FCA CF] Client dealing (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- CF30 Customer (1 Dec 2017 to 8 Dec 2019)
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- Employed By (9 Mar 2017 to 1 Dec 2017)
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- Employed By (31 Oct 2014 to 1 Dec 2017)
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- CF30 Customer (8 Aug 2014 to 1 Dec 2017)
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- CF30 Customer (30 Sep 2011 to 30 May 2012)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.