Kate Hartshorne

Last updated
1 week ago
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Where they hold approval

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

  • HSBC UK Bank Plc

    FRN 765112

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 1 Jul 2018)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • [FCA CF] Functions requiring qualifications (6 Jul 2017 to 1 Jul 2018)
    • CF30 Customer (1 May 2013 to 6 Mar 2016)
    • CF21 Investment Adviser (8 Dec 2005 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (8 Apr 2005 to 8 Dec 2005)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (11 Feb 2004 to 25 Mar 2005)
    • CF22 Investment Adviser (Trainee) (15 Aug 2002 to 11 Feb 2004)

Recent activity

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

No changes recorded yet.