Where they hold approval

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

    • 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] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (16 Sep 2019 to 8 Dec 2019)
  • Thornbridge Investment Management LLP (no longer approved here)

    FRN 713859

    • CF30 Customer (30 Apr 2019 to 21 Nov 2019)
  • Broad Street Investment Management Ltd (no longer approved here)

    FRN 821362

    • Employed By (30 Apr 2019 to 8 Dec 2019)
  • HENDERSON ROWE LIMITED (no longer approved here)

    FRN 401809

    • CF30 Customer (7 Sep 2012 to 16 Jan 2019)
  • NS PARTNERS LTD (no longer approved here)

    FRN 141667

    • CF30 Customer (1 Nov 2007 to 23 Jan 2009)
    • CF27 Investment Management (9 Aug 2004 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.