Douglas George John Spence

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.

  • 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] Manager of certification employee (since 16 Oct 2024)
    • [FCA CF] Functions requiring qualifications (since 6 Jun 2024)
    • [FCA CF] Client dealing (since 6 Jun 2024)
  • LGT Wealth Management Limited (no longer approved here)

    FRN 466684

    • CF30 Customer (10 Jul 2009 to 13 May 2011)
  • Quilter Cheviot Limited (no longer approved here)

    FRN 124259

    • CF30 Customer (1 Nov 2007 to 5 Nov 2008)
    • CF21 Investment Adviser (1 Apr 2005 to 31 Oct 2007)

Recent activity

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

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