Where they hold approval

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

    • 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
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Material risk taker (9 Dec 2019 to 24 Nov 2025)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF27 Investment Management (30 Jun 2006 to 31 Oct 2007)
    • CF21 Investment Adviser (1 Feb 2005 to 31 Oct 2007)
    • CF26 Customer Trading (18 Nov 2004 to 1 Dec 2006)
    • CF22 Investment Adviser (Trainee) (21 Oct 2003 to 31 Jan 2005)
  • BROWN SHIPLEY & CO. LIMITED (no longer approved here)

    FRN 124548

    • CF22 Investment Adviser (Trainee) (28 Mar 2002 to 31 Aug 2003)

Recent activity

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

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