David James Middleton Lindsley

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.

  • Redmayne-Bentley LLP

    FRN 499510

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Functions requiring qualifications (since 16 Aug 2023)
    • [FCA CF] Client dealing (since 16 Aug 2023)
    • [FCA CF] Material risk taker (since 16 Aug 2023)
  • RAYMOND JAMES INVESTMENT SERVICES LIMITED (no longer approved here)

    FRN 194713

    • [FCA CF] Client dealing (9 Dec 2019 to 30 Sep 2022)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 30 Sep 2022)
    • CF30 Customer (8 Oct 2018 to 8 Dec 2019)
  • Rathbones Investment Management Limited (no longer approved here)

    FRN 116316

    • CF30 Customer (15 Nov 2011 to 6 Mar 2016)
  • James Brearley & Sons Limited (no longer approved here)

    FRN 189219

    • CF30 Customer (1 Nov 2007 to 13 May 2011)
    • CF27 Investment Management (4 Nov 2005 to 31 Oct 2007)
    • CF21 Investment Adviser (4 Nov 2005 to 31 Oct 2007)
  • IM ASSET MANAGEMENT LIMITED (no longer approved here)

    FRN 402770

    • CF27 Investment Management (6 Dec 2004 to 16 Sep 2005)
    • CF21 Investment Adviser (6 Dec 2004 to 16 Sep 2005)

Recent activity

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

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