Where they hold approval

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

    • 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] Functions requiring qualifications (since 22 Apr 2022)
    • [FCA CF] Client dealing (since 22 Apr 2022)
  • Rathbones Investment Management Limited (no longer approved here)

    FRN 116316

    • CF30 Customer (16 Dec 2015 to 6 Mar 2016)
  • Embark Services Limited (no longer approved here)

    FRN 120820

    • CF30 Customer (1 Nov 2007 to 4 Nov 2009)
    • CF21 Investment Adviser (1 Sep 2005 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (5 Jan 2005 to 23 Aug 2005)

Recent activity

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

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