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
    • 8. Giving personal recommendations on investments in the course of corporate finance business
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Client dealing (since 4 Apr 2024)
    • [FCA CF] Functions requiring qualifications (since 4 Apr 2024)
  • BROWN SHIPLEY & CO. LIMITED (no longer approved here)

    FRN 124548

    • [FCA CF] Manager of certification employee (9 Sep 2019 to 9 Jun 2022)
    • [FCA CF] Functions requiring qualifications (9 Sep 2019 to 29 Nov 2023)
    • CF30 Customer (25 Jul 2008 to 6 Mar 2016)
  • Evelyn Partners Securities (no longer approved here)

    FRN 124255

    • CF30 Customer (1 Nov 2007 to 25 Apr 2008)
    • CF21 Investment Adviser (5 Jan 2007 to 31 Oct 2007)
    • CF27 Investment Management (5 Jan 2007 to 31 Oct 2007)
  • BARCLAYS INVESTMENT SOLUTIONS LIMITED (no longer approved here)

    FRN 155595

    • CF21 Investment Adviser (12 Dec 2001 to 12 Dec 2001)
    • CF27 Investment Management (1 Dec 2001 to 17 Dec 2001)
  • JUPITER INVESTMENT MANAGEMENT LIMITED (no longer approved here)

    FRN 171847

    • CF27 Investment Management (12 Dec 2001 to 31 Jan 2005)

Recent activity

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

No changes recorded yet.