Adam James Dawe

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.

  • J.M. FINN & CO.LTD

    FRN 450754

    • 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 2 Aug 2022)
    • [FCA CF] Functions requiring qualifications (since 2 Aug 2022)
  • Thesis Asset Management Limited (no longer approved here)

    FRN 114354

    • CF30 Customer (15 Nov 2018 to 1 Apr 2019)

Recent activity

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

No changes recorded yet.