Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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BROWN SHIPLEY & CO. LIMITED
FRN 124548
- 14. Managing investments
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- [FCA CF] Manager of certification employee (since 9 Sep 2019)
- [FCA CF] Functions requiring qualifications (since 9 Sep 2019)
- CF30 Customer (7 May 2015 to 6 Mar 2016)
- CF22 Investment Adviser (Trainee) (30 May 2003 to 3 Feb 2004)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.