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)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 1 May 2024)
    • [FCA CF] Client dealing (since 1 May 2024)
  • Gallagher Risk & Reward Limited (no longer approved here)

    FRN 184711

    • Responsible for Insurance Distribution (1 Oct 2018 to 10 Jan 2019)
    • Responsible for Insurance Mediation (17 Nov 2016 to 30 Sep 2018)
    • CF3 Chief Executive (1 Jan 2013 to 10 Jan 2019)
    • CF30 Customer (1 Nov 2007 to 31 Dec 2014)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
    • CF24 Pension Transfer Specialist (1 Dec 2001 to 31 Oct 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF1 Director (1 Dec 2001 to 14 Feb 2019)
  • Moore Kingston Smith Financial Advisers Ltd (no longer approved here)

    FRN 558116

    • (12)Employed By (19 Dec 2016 to 28 Feb 2019)

Recent activity

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

No changes recorded yet.