Adam Alexander Brewis Pollock

Last updated
2 weeks ago
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Where they hold approval

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

  • Oberon Investments Limited

    FRN 124885

    • 8. Giving personal recommendations on investments in the course of corporate finance business
    • [FCA CF] Client dealing (since 24 May 2022)
    • [FCA CF] Functions requiring qualifications (since 24 May 2022)
  • Smythe House Limited (no longer approved here)

    FRN 583142

    • [FCA CF] Functions requiring qualifications (31 May 2022 to 13 Oct 2022)
    • [FCA CF] Client dealing (31 May 2022 to 13 Oct 2022)
  • W H Ireland Limited (no longer approved here)

    FRN 140773

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 31 Mar 2022)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 31 Mar 2022)
    • [FCA CF] Material risk taker (9 Dec 2019 to 31 Mar 2022)
    • [FCA CF] Significant management (9 Dec 2019 to 31 Mar 2022)
    • CF30 Customer (9 Mar 2017 to 8 Dec 2019)
    • CF29 Significant management (9 Mar 2017 to 8 Dec 2019)
  • Zeus Capital Limited (no longer approved here)

    FRN 224621

    • CF30 Customer (15 Dec 2014 to 17 Feb 2017)
  • Panmure Liberum Limited (no longer approved here)

    FRN 403721

    • CF30 Customer (22 Aug 2008 to 18 Aug 2014)
  • DB UK Bank Limited (no longer approved here)

    FRN 140848

    • CF21 Investment Adviser (1 Dec 2001 to 14 Feb 2003)
  • Deutsche Bank AG (no longer approved here)

    FRN 150018

    • CF21 Investment Adviser (1 Dec 2001 to 14 Feb 2003)

Recent activity

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

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