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
    • CF30 Customer (since 11 Dec 2023)
    • Appointed representative dealing with clients for which they require qualification (since 21 Nov 2023)
    • (10)Employed By (since 11 Dec 2023)
  • ASCOT LLOYD FINANCIAL PLANNING LIMITED (no longer approved here)

    FRN 144519

    • [FCA CF] Client dealing (9 Dec 2019 to 1 Nov 2023)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 1 Nov 2023)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF30 Customer (29 Apr 2010 to 25 May 2012)
  • ABERDEEN PLATFORM LIMITED (no longer approved here)

    FRN 188796

    • CF21 Investment Adviser (7 Feb 2005 to 21 Apr 2005)

Recent activity

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

  1. controlled function removed: Employed By at Principal & Prosper Limited

  2. controlled function added: (10)Employed By at Principal & Prosper Limited