Where they hold approval

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

    • 14. Managing investments
    • [FCA CF] Material risk taker (since 1 Apr 2023)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF9 Chair of the Governing Body (24 May 2024 to 1 Apr 2026)
    • SMF1 Chief Executive (9 Dec 2019 to 24 May 2024)
    • CF3 Chief Executive (2 Nov 2017 to 8 Dec 2019)
    • CF30 Customer (23 May 2017 to 8 Dec 2019)
    • CF1 Director (23 May 2017 to 8 Dec 2019)
  • Wise Investments Ltd (no longer approved here)

    FRN 230553

    • Director of firm who is not a certification employee or a SMF manager (1 Nov 2021 to 31 Dec 2022)
    • CF1 Director (21 Dec 2012 to 28 Apr 2017)
    • CF30 Customer (1 Sep 2009 to 6 Jun 2017)
  • RATHBONES ASSET MANAGEMENT LIMITED (no longer approved here)

    FRN 144266

    • CF30 Customer (1 Nov 2007 to 17 Mar 2009)
    • CF27 Investment Management (5 Apr 2005 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (21 Jul 2003 to 5 Apr 2005)

Recent activity

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

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