Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Brooks Macdonald Asset Management Limited
FRN 184918
- 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
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Material risk taker (since 29 Mar 2021)
- [FCA CF] Functions requiring qualifications (since 16 Nov 2020)
- [FCA CF] Manager of certification employee (since 16 Nov 2020)
- [FCA CF] Client dealing (since 16 Nov 2020)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF26 Customer Trading (11 Jul 2006 to 31 Oct 2007)
- CF21 Investment Adviser (24 Feb 2006 to 31 Oct 2007)
- CF27 Investment Management (24 Feb 2006 to 31 Oct 2007)
- CF22 Investment Adviser (Trainee) (14 May 2004 to 24 Feb 2006)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.