Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 21. Advising or arranging (bringing about) equity release transactions
    • 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)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 14 Jun 2023)
    • [FCA CF] Client dealing (since 14 Jun 2023)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 16 Jun 2023)
    • CF30 Customer (1 Sep 2017 to 16 Jun 2023)
  • Finance Planning Wealth Management Limited (no longer approved here)

    FRN 673741

    • Employed By (1 Sep 2017 to 16 Jun 2023)
  • ST. JAMES'S PLACE UNIT TRUST GROUP LIMITED (no longer approved here)

    FRN 122472

    • CF21 Investment Adviser (1 Apr 2003 to 3 Jun 2003)
    • CF22 Investment Adviser (Trainee) (1 May 2002 to 1 Apr 2003)
  • ST. JAMES'S PLACE UK PLC (no longer approved here)

    FRN 150026

    • CF21 Investment Adviser (1 Apr 2003 to 3 Jun 2003)
    • CF22 Investment Adviser (Trainee) (1 May 2002 to 1 Apr 2003)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF21 Investment Adviser (1 Apr 2003 to 20 Jun 2005)
    • CF22 Investment Adviser (Trainee) (1 May 2002 to 1 Apr 2003)

Recent activity

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

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