Where they hold approval

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

    • [FCA CF] Significant management (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • CF30 Customer (27 Jun 2019 to 8 Dec 2019)
  • Robert W. Baird Limited (no longer approved here)

    FRN 124308

    • CF30 Customer (26 Aug 2015 to 3 Jun 2019)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Harris Williams & Co. Ltd (no longer approved here)

    FRN 540892

    • CF30 Customer (3 Jan 2012 to 30 Jun 2015)
  • Sturgeon Ventures LLP (no longer approved here)

    FRN 452811

    • CF30 Customer (4 Feb 2011 to 21 Dec 2011)

Recent activity

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

No changes recorded yet.