Ian James Hawke

Last updated
3 weeks ago
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Where they hold approval

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

  • Chase de Vere Independent Financial Advisers limited

    FRN 137914

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (19 Apr 2016 to 8 Dec 2019)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (22 May 2014 to 6 Mar 2016)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF30 Customer (1 Nov 2007 to 11 Apr 2014)
    • CF22 Investment Adviser (Trainee) (29 Oct 2007 to 31 Oct 2007)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (8 Apr 2004 to 26 Oct 2007)
    • CF22 Investment Adviser (Trainee) (30 Apr 2002 to 8 Apr 2004)

Recent activity

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

No changes recorded yet.