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
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- [FCA CF] Client dealing (since 31 Dec 2020)
- [FCA CF] Manager of certification employee (since 31 Dec 2020)
- [FCA CF] Functions requiring qualifications (since 31 Dec 2020)
- [FCA CF] Material risk taker (1 Jan 2024 to 31 Dec 2024)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF27 Investment Management (27 Nov 2002 to 31 Oct 2007)
- CF1 Director (27 Nov 2002 to 23 Jan 2007)
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- CF1 Director (1 Dec 2001 to 31 Jan 2003)
- CF27 Investment Management (1 Dec 2001 to 23 Sep 2003)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.