Where they hold approval

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

    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • CF1 Director (AR) (since 5 Dec 2025)
    • [FCA CF] Functions requiring qualifications (since 20 Dec 2022)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • Responsibility for MCD Intermediation (since 19 Oct 2016)
    • Responsible for Insurance Mediation (19 May 2010 to 30 Sep 2018)
    • CF11 Money Laundering Reporting (19 May 2010 to 8 Dec 2019)
    • CF10 Compliance Oversight (19 May 2010 to 8 Dec 2019)
    • CF1 Director (19 May 2010 to 8 Dec 2019)
  • Ask Ladder Ltd

    FRN 827407

    • Employed By (since 5 Dec 2025)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (8 Jul 2011 to 31 Jan 2012)
  • The Puxley Partnership (no longer approved here)

    FRN 510203

    • (1)Employed By (8 Jul 2011 to 31 Jan 2012)

Recent activity

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

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