James Brennan

Last updated
3 weeks ago
Watch for changes

Where they hold approval

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

  • SCHRODER & CO. LIMITED

    FRN 144206

    • 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 Mar 2021)
    • [FCA CF] Client dealing (since 22 Sep 2020)
    • [FCA CF] Functions requiring qualifications (since 22 Sep 2020)
  • Rathbones Investment Management Limited (no longer approved here)

    FRN 116316

    • [FCA CF] Functions requiring qualifications (7 Mar 2016 to 29 May 2019)
    • CF30 Customer (15 Feb 2016 to 6 Mar 2016)
  • Canaccord Genuity Limited (no longer approved here)

    FRN 182011

    • CF30 Customer (1 Nov 2007 to 3 Dec 2007)
    • CF21 Investment Adviser (14 Sep 2005 to 31 Oct 2007)
    • CF27 Investment Management (14 Sep 2005 to 31 Oct 2007)
  • CCLA INVESTMENT MANAGEMENT LIMITED (no longer approved here)

    FRN 119281

    • CF21 Investment Adviser (7 Oct 2002 to 31 Aug 2005)
  • Coutts & Company (no longer approved here)

    FRN 122287

    • CF27 Investment Management (1 Dec 2001 to 5 Sep 2002)

Recent activity

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

No changes recorded yet.