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
    • [FCA CF] Manager of certification employee (since 1 Oct 2021)
    • [FCA CF] Client dealing (since 1 Oct 2020)
    • [FCA CF] Functions requiring qualifications (since 1 Oct 2020)
    • CF30 Customer (27 Sep 2019 to 8 Dec 2019)
  • Brooks Macdonald Asset Management Limited (no longer approved here)

    FRN 184918

    • CF30 Customer (21 Jul 2010 to 9 Jul 2019)
  • BROWN SHIPLEY & CO. LIMITED (no longer approved here)

    FRN 124548

    • CF30 Customer (13 May 2008 to 30 Jun 2010)
  • RAYMOND JAMES INVESTMENT SERVICES LIMITED (no longer approved here)

    FRN 194713

    • CF30 Customer (1 Nov 2007 to 1 Jan 2008)
    • CF21 Investment Adviser (5 Sep 2007 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (6 Jan 2006 to 5 Sep 2007)

Recent activity

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

No changes recorded yet.