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] Client dealing (since 10 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • CF30 Customer (22 Aug 2018 to 8 Dec 2019)
  • INVEST SOUTHWEST LIMITED (no longer approved here)

    FRN 469547

    • CF30 Customer (19 Jul 2016 to 2 Sep 2018)
  • TAVISTOCK PARTNERS (UK) LTD (no longer approved here)

    FRN 230342

    • CF30 Customer (28 Oct 2010 to 6 Jul 2016)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • CF30 Customer (15 May 2008 to 15 Jul 2010)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (1 Nov 2007 to 1 May 2008)
    • CF22 Investment Adviser (Trainee) (17 Sep 2007 to 31 Oct 2007)
  • Aviva Administration Limited (no longer approved here)

    FRN 185746

    • CF22 Investment Adviser (Trainee) (12 Jan 2005 to 18 Aug 2006)

Recent activity

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

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