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
- 14. Managing investments
- 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] Functions requiring qualifications (since 16 Oct 2024)
- [FCA CF] Client dealing (since 16 Oct 2024)
- [FCA CF] Manager of certification employee (since 16 Oct 2024)
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- CF30 Customer (1 Nov 2007 to 31 Mar 2008)
- CF27 Investment Management (7 Oct 2003 to 31 Aug 2005)
- CF21 Investment Adviser (11 Jul 2002 to 31 Aug 2005)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.