John Aubrey

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.

  • Ascot Lloyd Limited

    FRN 578614

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 18 Jan 2021)
    • [FCA CF] Client dealing (since 18 Jan 2021)
    • CF30 Customer (6 Aug 2015 to 8 Dec 2019)
  • Chase de Vere Independent Financial Advisers limited (no longer approved here)

    FRN 137914

    • CF30 Customer (1 Nov 2007 to 31 Jul 2015)
    • CF21 Investment Adviser (7 Aug 2007 to 31 Oct 2007)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF21 Investment Adviser (6 Apr 2007 to 11 Aug 2007)
    • CF22 Investment Adviser (Trainee) (21 Nov 2005 to 10 Apr 2007)

Recent activity

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

No changes recorded yet.