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
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • CF30 Customer (since 3 Oct 2023)
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF30 Customer (19 May 2008 to 15 Dec 2008)
    • (28)Employed By (since 3 Oct 2023)
    • (41)Employed By (3 Aug 2009 to 8 Aug 2013)
    • SMF3 Executive Director (since 9 Jun 2023)
    • SMF16 Compliance Oversight (since 9 Jun 2023)
  • Triangle 3 (no longer approved here)

    FRN 228873

    • (3)Employed By (13 Feb 2009 to 3 Aug 2009)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF30 Customer (1 Nov 2007 to 28 Apr 2008)
    • CF22 Investment Adviser (Trainee) (31 Jul 2007 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.