Where they hold approval

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

    • 14. Managing investments
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Significant management (since 1 Jul 2024)
    • [FCA CF] Client dealing (since 1 Mar 2023)
    • [PRA CF] Significant risk taker or Material risk taker (since 1 Dec 2021)
    • [FCA CF] Functions requiring qualifications (since 7 Mar 2016)
    • [FCA CF] Manager of certification employee (since 7 Mar 2016)
    • [PRA CF] Managing a material risk taker (1 Dec 2021 to 2 Dec 2021)
    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF21 Investment Adviser (7 Apr 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (8 Dec 2005 to 7 Apr 2006)
  • RATHBONES ASSET MANAGEMENT LIMITED (no longer approved here)

    FRN 144266

    • CF30 Customer (13 Jan 2011 to 20 Nov 2019)

Recent activity

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

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