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
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • [FCA CF] Functions requiring qualifications (since 2 Dec 2020)
    • [FCA CF] Client dealing (since 2 Dec 2020)
    • CF30 Customer (26 Mar 2010 to 8 Dec 2019)
  • BARCLAYS INVESTMENT SOLUTIONS LIMITED (no longer approved here)

    FRN 155595

    • CF30 Customer (1 Nov 2007 to 16 Sep 2009)
    • CF21 Investment Adviser (27 Jun 2006 to 29 Jun 2006)
    • CF27 Investment Management (27 Jun 2006 to 31 Oct 2007)
  • Rathbones Investment Management Limited (no longer approved here)

    FRN 116316

    • CF21 Investment Adviser (1 Dec 2001 to 31 Jul 2002)
    • CF27 Investment Management (1 Dec 2001 to 31 Jul 2002)
    • CF1 Director (1 Dec 2001 to 31 Jul 2002)

Recent activity

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

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