Last updated
2 weeks ago
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Where they hold approval

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

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 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
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 28 Mar 2022)
    • [FCA CF] Client dealing (since 28 Mar 2022)
  • BROWN SHIPLEY & CO. LIMITED (no longer approved here)

    FRN 124548

    • CF30 Customer (31 Dec 2014 to 6 Mar 2016)
  • HSBC Global Asset Management (UK) Limited (no longer approved here)

    FRN 122335

    • CF30 Customer (6 Sep 2010 to 25 Nov 2014)
  • Redmayne-Bentley LLP (no longer approved here)

    FRN 499510

    • CF30 Customer (1 Oct 2009 to 14 Jun 2010)

Recent activity

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

No changes recorded yet.