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
    • 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 28 Aug 2025)
    • [FCA CF] Client dealing (since 28 Aug 2025)
  • Quilter Financial Limited (no longer approved here)

    FRN 497604

    • Appointed representative dealing with clients for which they require qualification (14 Aug 2023 to 9 Feb 2024)
    • CF30 Customer (7 Aug 2023 to 9 Feb 2024)
  • Alexander House Financial Planning Limited (no longer approved here)

    FRN 791612

    • (9)Employed By (7 Aug 2023 to 9 Feb 2024)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • Appointed representative dealing with clients for which they require qualification (8 Dec 2021 to 14 Aug 2023)
    • CF30 Customer (5 Dec 2021 to 9 Feb 2024)
  • Keystone Wealth Management Ltd (no longer approved here)

    FRN 525039

    • (4)Employed By (5 Dec 2021 to 9 Feb 2024)
  • Banco Santander, S.A. (no longer approved here)

    FRN 136261

    • [FCA CF] Client dealing (25 Sep 2017 to 30 Jun 2019)
    • CF30 Customer (1 Nov 2007 to 16 May 2011)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Bradesco Securities UK Limited (no longer approved here)

    FRN 479707

    • CF30 Customer (8 Oct 2014 to 24 Sep 2015)
  • Barclays Capital Securities Limited (no longer approved here)

    FRN 124431

    • CF30 Customer (8 Aug 2011 to 23 Jun 2014)

Recent activity

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

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