Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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St. James's Place Wealth Management Plc
FRN 195351
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Client dealing (since 1 Jul 2025)
- [FCA CF] Functions requiring qualifications (since 6 Nov 2023)
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- [FCA CF] Manager of certification employee (7 Mar 2016 to 30 Nov 2021)
- CF30 Customer (9 May 2014 to 29 Dec 2015)
- CF21 Investment Adviser (1 Dec 2001 to 27 Sep 2005)
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- CF21 Investment Adviser (1 Dec 2001 to 30 Aug 2002)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.