Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Rothschild & Co Wealth Management UK Limited
FRN 218613
- 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
- [FCA CF] Functions requiring qualifications (since 31 Dec 2020)
- [FCA CF] Client dealing (since 31 Dec 2020)
- [FCA CF] Manager of certification employee (since 31 Dec 2020)
- SMF3 Executive Director (since 9 Dec 2019)
- Responsibility for MCD Intermediation (since 16 Sep 2016)
- CF1 Director (16 Aug 2016 to 8 Dec 2019)
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- SMF3 Executive Director (9 Dec 2019 to 21 Sep 2023)
- CF1 Director (19 Sep 2016 to 8 Dec 2019)
- Responsibility for MCD Intermediation (19 Sep 2016 to 24 Jan 2018)
- CF1 Director (AR) (21 Sep 2015 to 11 Jun 2024)
- CF29 Significant management (20 Apr 2011 to 6 Mar 2016)
- CF30 Customer (1 Nov 2007 to 6 Mar 2016)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
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- Employed By (21 Sep 2015 to 11 Jun 2024)
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- CF29 Significant management (12 Sep 2011 to 26 Nov 2013)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.