Caroline Stokell

Last updated
1 week ago
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Where they hold approval

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

  • Navera Investment Management Limited

    FRN 923827

    • 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
    • SMF1 Chief Executive (since 21 Jan 2022)
    • [FCA CF] Manager of certification employee (since 1 May 2020)
    • [FCA CF] Functions requiring qualifications (since 1 May 2020)
    • [FCA CF] Client dealing (since 1 May 2020)
    • [FCA CF] Significant management (since 1 May 2020)
    • [FCA CF] Material risk taker (since 1 May 2020)
    • SMF3 Executive Director (1 Oct 2020 to 21 Jan 2022)
  • Newton Investment Management Limited (no longer approved here)

    FRN 119331

    • CF30 Customer (1 Nov 2007 to 15 Jan 2013)
    • CF27 Investment Management (14 Jul 2004 to 31 Oct 2007)
  • BNY Mellon Investment Management EMEA Limited (no longer approved here)

    FRN 119196

    • CF27 Investment Management (1 Dec 2001 to 8 Jan 2002)

Recent activity

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

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