Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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ARBUTHNOT LATHAM & CO., LIMITED
FRN 143336
- 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
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Client dealing (since 2 Mar 2024)
- [FCA CF] Functions requiring qualifications (since 6 Nov 2023)
- [FCA CF] Functions requiring qualifications (6 Sep 2019 to 25 Jun 2022)
Recent activity
Updates to this individual's record on the FCA register.
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