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 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (8 Aug 2019 to 8 Dec 2019)
  • B A Financial Management (no longer approved here)

    FRN 161446

    • Employed By (14 Jun 2006 to 8 Dec 2019)
    • CF21 Investment Adviser (20 Jan 2003 to 4 Mar 2005)
    • CF22 Investment Adviser (Trainee) (26 Jun 2002 to 20 Jan 2003)
  • N.F.U. Mutual Unit Managers Limited (no longer approved here)

    FRN 121922

    • CF21 Investment Adviser (20 Jan 2003 to 4 Mar 2005)
    • CF22 Investment Adviser (Trainee) (26 Jun 2002 to 20 Jan 2003)

Recent activity

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

No changes recorded yet.