Last updated
3 weeks ago
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Where they hold approval

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

  • Schroder Investment Management North America Limited (no longer approved here)

    FRN 144543

    • CF1 Director (12 Oct 2016 to 31 Jan 2019)
    • CF30 Customer (20 May 2015 to 31 Jan 2019)
  • Schroder Investment Management Limited (no longer approved here)

    FRN 119348

    • CF30 Customer (20 May 2015 to 31 Jan 2019)
  • FIL Investment Services (UK) Limited (no longer approved here)

    FRN 121939

    • CF30 Customer (30 May 2008 to 30 Sep 2011)
    • CF29 Significant management (1 Nov 2007 to 30 Sep 2011)
    • CF16 Significant Mgt (Desgntd Investment Business) (2 Jun 2006 to 31 Oct 2007)
    • CF26 Customer Trading (2 Jun 2006 to 31 Oct 2007)
  • FIL Investment Advisors (UK) Limited (no longer approved here)

    FRN 159360

    • CF30 Customer (30 May 2008 to 30 Sep 2011)
    • CF29 Significant management (1 Nov 2007 to 30 Sep 2011)
    • CF26 Customer Trading (3 Jul 2006 to 31 Oct 2007)
    • CF16 Significant Mgt (Desgntd Investment Business) (2 Jun 2006 to 31 Oct 2007)
    • CF27 Investment Management (2 Jun 2006 to 3 Jul 2006)
  • FIL Investments International (no longer approved here)

    FRN 122170

    • CF29 Significant management (1 Nov 2007 to 30 Sep 2011)
    • CF30 Customer (1 Nov 2007 to 3 Dec 2007)
    • CF26 Customer Trading (3 Jul 2006 to 31 Oct 2007)
    • CF27 Investment Management (2 Jun 2006 to 3 Jul 2006)
    • CF16 Significant Mgt (Desgntd Investment Business) (2 Jun 2006 to 31 Oct 2007)
  • FIL Pensions Management (no longer approved here)

    FRN 144345

    • CF30 Customer (1 Nov 2007 to 3 Dec 2007)
    • CF29 Significant management (1 Nov 2007 to 30 Sep 2011)
    • CF26 Customer Trading (3 Jul 2006 to 31 Oct 2007)
    • CF16 Significant Mgt (Desgntd Investment Business) (2 Jun 2006 to 31 Oct 2007)
    • CF27 Investment Management (2 Jun 2006 to 3 Jul 2006)
  • Citigroup Global Markets Limited (no longer approved here)

    FRN 124384

    • CF21 Investment Adviser (1 Dec 2001 to 10 Jul 2002)

Recent activity

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

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