Where they hold approval

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

    • 14. Managing investments
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Manager of certification employee (since 1 Apr 2022)
    • [FCA CF] Client dealing (since 1 Jan 2021)
    • [FCA CF] Functions requiring qualifications (since 1 Jan 2021)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF27 Investment Management (30 Jun 2006 to 31 Oct 2007)
    • CF21 Investment Adviser (30 Jun 2006 to 31 Oct 2007)
  • BROWN SHIPLEY & CO. LIMITED (no longer approved here)

    FRN 124548

    • CF21 Investment Adviser (29 May 2002 to 24 Nov 2003)
    • CF27 Investment Management (29 May 2002 to 24 Nov 2003)

Recent activity

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

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