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.

• David Timothy Mann

  IRN DTM01034

  • [FCA CF] Functions requiring qualifications (31 Mar 2021 to 31 Mar 2026)
  • [FCA CF] Client dealing (31 Mar 2021 to 31 Mar 2026)
  • CF30 Customer (22 Jul 2015 to 8 Dec 2019)
• Eric Silvestre Brotons

  IRN EXS15553

  • [FCA CF] Functions requiring qualifications (31 Mar 2021 to 14 Nov 2022)
  • [FCA CF] Client dealing (31 Mar 2021 to 14 Nov 2022)
  • CF30 Customer (1 Jun 2019 to 8 Dec 2019)
• George Anderson

  IRN GXA00315

  • 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] Functions requiring qualifications (since 10 Apr 2026)
  • [FCA CF] Client dealing (since 10 Apr 2026)
• George Holloway

  IRN GHH01040

  • 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 15 Feb 2023)
  • [FCA CF] Functions requiring qualifications (since 15 Feb 2023)
• Glenn John Meyer

  IRN GJM01081

  • 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
  • SMF16 Compliance Oversight (since 28 Nov 2025)
  • [FCA CF] Client dealing (since 31 Mar 2021)
  • [FCA CF] Functions requiring qualifications (since 31 Mar 2021)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF16 Compliance Oversight (9 Dec 2019 to 3 Oct 2022)
  • CF11 Money Laundering Reporting (22 May 2013 to 16 Nov 2018)
  • CF10a CASS Oversight function (22 May 2013 to 5 Feb 2018)
  • CF10 Compliance Oversight (22 May 2013 to 8 Dec 2019)
  • CF1 Director (1 May 2012 to 8 Dec 2019)
  • CF30 Customer (28 May 2010 to 8 Dec 2019)
• Jacob Grills

  IRN JXG00798

  • 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] Client dealing (since 13 Aug 2024)
  • [FCA CF] Functions requiring qualifications (since 13 Aug 2024)
• James Alexander Gardner

  IRN JAG01241

  • 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 31 Mar 2021)
  • [FCA CF] Client dealing (since 31 Mar 2021)
  • CF30 Customer (13 Feb 2014 to 8 Dec 2019)
• James Anthony Sullivan

  IRN JAS01361

  • CF30 Customer (4 Nov 2014 to 15 Feb 2016)
• Joe Richard Dyer

  IRN JRD01108

  • 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] Client dealing (since 31 Mar 2021)
  • [FCA CF] Functions requiring qualifications (since 31 Mar 2021)
  • CF30 Customer (7 Nov 2013 to 8 Dec 2019)
• Lindsey Jacqueline Jones

  IRN LJJ01031

  • CF10a CASS Oversight function (1 Oct 2011 to 24 May 2013)
  • CF28 Systems and controls (7 Dec 2007 to 8 May 2013)
  • CF1 Director (1 May 2006 to 30 Apr 2013)
  • CF10 Compliance Oversight (15 Oct 2004 to 24 May 2013)
  • CF11 Money Laundering Reporting (15 Oct 2004 to 24 May 2013)

No changes recorded yet.