Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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R C Brown Investment Management Plc
FRN 146002
- 14. Managing investments
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- SMF16 Compliance Oversight (since 28 Nov 2025)
- [FCA CF] Functions requiring qualifications (since 31 Mar 2021)
- [FCA CF] Client dealing (since 31 Mar 2021)
- SMF3 Executive Director (since 9 Dec 2019)
- SMF16 Compliance Oversight (9 Dec 2019 to 3 Oct 2022)
- CF10 Compliance Oversight (22 May 2013 to 8 Dec 2019)
- CF11 Money Laundering Reporting (22 May 2013 to 16 Nov 2018)
- CF10a CASS Oversight function (22 May 2013 to 5 Feb 2018)
- CF1 Director (1 May 2012 to 8 Dec 2019)
- CF30 Customer (28 May 2010 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.