Where they hold approval

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

  • Mayfield Financial Services Limited (no longer approved here)

    FRN 176527

    • SMF3 Executive Director (9 Dec 2019 to 14 Feb 2024)
    • [FCA CF] Client dealing (9 Dec 2019 to 28 Mar 2024)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 28 Mar 2024)
    • SMF16 Compliance Oversight (9 Dec 2019 to 8 Nov 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 8 Nov 2023)
    • Responsible for Insurance Distribution (1 Oct 2018 to 8 Nov 2023)
    • CF11 Money Laundering Reporting (30 Oct 2012 to 8 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • Responsible for Insurance Mediation (14 Jan 2005 to 19 May 2008)
    • CF10 Compliance Oversight (10 Sep 2003 to 1 May 2008)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF1 Director (1 Dec 2001 to 8 Dec 2019)
  • Estcots Limited (no longer approved here)

    FRN 183343

    • (2)Employed By (10 Sep 2003 to 8 Dec 2019)

Recent activity

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

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