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
- 14. Managing investments
- [FCA CF] Client dealing (since 1 Mar 2023)
- [FCA CF] Manager of certification employee (since 18 Mar 2022)
- [FCA CF] Functions requiring qualifications (since 18 Oct 2021)
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- [FCA CF] Significant management (9 Dec 2019 to 15 Oct 2021)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF27 Investment Management (1 Sep 2006 to 31 Oct 2007)
- CF22 Investment Adviser (Trainee) (11 Feb 2004 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.