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
- 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Client dealing (since 13 Mar 2026)
- [FCA CF] Functions requiring qualifications (since 13 Mar 2026)
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- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 6 Mar 2026)
- [FCA CF] Client dealing (9 Dec 2019 to 6 Mar 2026)
- CF30 Customer (19 Jun 2017 to 8 Dec 2019)
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- CF30 Customer (16 Feb 2017 to 7 Apr 2017)
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- CF30 Customer (16 Feb 2017 to 7 Apr 2017)
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- CF30 Customer (21 Dec 2016 to 11 Apr 2017)
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- CF30 Customer (9 Dec 2016 to 7 Apr 2017)
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- CF30 Customer (29 Mar 2011 to 28 Oct 2016)
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- CF30 Customer (15 Aug 2008 to 2 Jul 2010)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.