Where they hold approval

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

    • 14. Managing investments
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Client dealing (since 24 Nov 2021)
    • [FCA CF] Functions requiring qualifications (since 24 Nov 2021)
  • Coutts & Company (no longer approved here)

    FRN 122287

    • [FCA CF] Functions requiring qualifications (17 Mar 2016 to 3 Sep 2021)
    • CF30 Customer (22 Oct 2013 to 17 Apr 2015)
    • CF21 Investment Adviser (14 Sep 2005 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (23 Aug 2004 to 14 Sep 2005)
  • Investec Bank PLC (no longer approved here)

    FRN 172330

    • CF30 Customer (2 Apr 2008 to 3 Oct 2009)

Recent activity

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

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