James Edward Neale

Last updated
3 weeks ago
Watch for changes

Where they hold approval

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

  • Rathbones Investment Management Limited

    FRN 116316

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Client dealing (since 16 Oct 2024)
    • [FCA CF] Functions requiring qualifications (since 16 Oct 2024)
  • Canaccord Genuity Wealth Limited (no longer approved here)

    FRN 194927

    • [FCA CF] Client dealing (2 Dec 2020 to 12 May 2023)
    • [FCA CF] Functions requiring qualifications (2 Dec 2020 to 12 May 2023)
    • CF30 Customer (6 Sep 2019 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.