James Oliver Steel

Last updated
2 weeks ago
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Where they hold approval

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

  • Peel Hunt LLP

    FRN 530083

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • CF30 Customer (13 Dec 2010 to 8 Dec 2019)
  • PIPER SANDLER LTD. (no longer approved here)

    FRN 191657

    • CF30 Customer (1 Nov 2007 to 14 Sep 2009)
    • CF21 Investment Adviser (12 Jan 2002 to 31 Oct 2007)
  • Robert W. Baird Limited (no longer approved here)

    FRN 124308

    • CF21 Investment Adviser (1 Dec 2001 to 6 Dec 2001)

Recent activity

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

No changes recorded yet.