James Gladstone

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.

  • SCHRODER & CO. LIMITED

    FRN 144206

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Material risk taker (since 1 Mar 2023)
    • [FCA CF] Significant management (since 1 Mar 2023)
    • [FCA CF] Client dealing (since 21 Feb 2018)
    • [FCA CF] Functions requiring qualifications (since 21 Feb 2018)
    • [FCA CF] Manager of certification employee (since 7 Mar 2016)
    • [FCA CF] Material risk taker (21 Feb 2018 to 18 Oct 2021)
    • CF30 Customer (19 May 2014 to 6 Mar 2016)
  • Rathbones Investment Management Limited (no longer approved here)

    FRN 116316

    • CF22 Investment Adviser (Trainee) (27 Jun 2006 to 7 Aug 2006)

Recent activity

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

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