R C Brown Investment Management Plc

• Principal Place of Business

  R C Brown Investment Management

  1 The Square

  Bristol

  Bristol, City Of

  BS1 6DG

  UNITED KINGDOM

  Phone

  +441179256073

  Web

  https://www.rcbim.co.uk

• Complaints Contact

  R C Brown Investment Management

  1 The Square

  Bristol

  Bristol, City Of

  BS1 6DG

  UNITED KINGDOM

  Phone

  +4401179256073

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Authorised to Operate

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Holds Your Assets

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Unit, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Alan Frederick Beaney

  IRN AFB01029

  • 14. Managing investments
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Manager of certification employee (since 31 Mar 2021)
  • [FCA CF] Client dealing (since 31 Mar 2021)
  • [FCA CF] Functions requiring qualifications (since 31 Mar 2021)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF1 Chief Executive (since 9 Dec 2019)
  • CF3 Chief Executive (6 May 2013 to 8 Dec 2019)
  • CF1 Director (17 Mar 2010 to 8 Dec 2019)
  • CF30 Customer (5 Oct 2009 to 8 Dec 2019)
• Alan James Comer

  IRN AJC01300

  • CF30 Customer (1 Nov 2007 to 30 Nov 2007)
  • CF28 Systems and controls (1 Nov 2007 to 6 May 2013)
  • CF13 Finance (22 Mar 2006 to 31 Oct 2007)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
  • CF3 Chief Executive (1 Dec 2001 to 6 May 2013)
  • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 29 May 2013)
• Andrew Frank Knighton

  IRN AFK01022

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Client dealing (since 31 Jul 2024)
  • [FCA CF] Functions requiring qualifications (since 31 Jul 2024)
• Andrew Jonathan Morris

  IRN AJM01269

  • [FCA CF] Manager of certification employee (since 23 Mar 2022)
  • [FCA CF] Client dealing (since 31 Mar 2021)
• Andrzej Sebastian Borkowski

  IRN ASB01160

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • [FCA CF] Client dealing (since 18 Dec 2023)
  • [FCA CF] Functions requiring qualifications (since 18 Dec 2023)
• Anthony Lewis Hughes

  IRN ALH01040

  • CF13 Finance (24 Nov 2004 to 14 Mar 2006)
  • CF1 Director (1 Dec 2001 to 30 Apr 2004)
  • CF10 Compliance Oversight (1 Dec 2001 to 30 Sep 2004)
  • CF11 Money Laundering Reporting (1 Dec 2001 to 30 Sep 2004)
• Cathy King

  IRN CXK01361

  • CF28 Systems and controls (15 May 2013 to 17 Sep 2015)
• Charles Harry Bowen Smith

  IRN CXS17217

  • [FCA CF] Functions requiring qualifications (18 Dec 2023 to 7 Jun 2024)
  • [FCA CF] Client dealing (18 Dec 2023 to 7 Jun 2024)
• Christopher David Thomas

  IRN CDT01026

  • [FCA CF] Client dealing (31 Mar 2021 to 11 Aug 2023)
  • CF30 Customer (19 Oct 2018 to 8 Dec 2019)
• Damian Paul Morley

  IRN DPM01067

  • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 14. Managing investments
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Functions requiring qualifications (since 18 May 2024)
  • [FCA CF] Client dealing (since 18 May 2024)

No changes recorded yet.