Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Rathbones Investment Management Limited
FRN 116316
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Client dealing (since 16 Oct 2024)
- [FCA CF] Functions requiring qualifications (since 16 Oct 2024)
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- CF30 Customer (18 Nov 2016 to 15 Nov 2019)
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- CF30 Customer (13 Apr 2016 to 15 Nov 2019)
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- CF30 Customer (12 Nov 2010 to 31 Dec 2014)
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- CF30 Customer (12 Sep 2008 to 7 Nov 2008)
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- CF30 Customer (1 Nov 2007 to 12 Sep 2008)
- CF22 Investment Adviser (Trainee) (2 Oct 2007 to 31 Oct 2007)
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- CF21 Investment Adviser (4 Apr 2007 to 17 Oct 2007)
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- (420)Employed By (4 Apr 2007 to 17 Oct 2007)
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- CF21 Investment Adviser (2 Apr 2007 to 26 May 2007)
- CF22 Investment Adviser (Trainee) (4 Sep 2006 to 2 Apr 2007)
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- CF21 Investment Adviser (10 May 2006 to 4 Sep 2006)
- CF22 Investment Adviser (Trainee) (17 Oct 2005 to 10 May 2006)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.