Kenneth Cummings

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.

  • BROWN SHIPLEY & CO. LIMITED

    FRN 124548

    • 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
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 24 Nov 2021)
  • Russell Gibson Financial Management Limited (no longer approved here)

    FRN 533522

    • [FCA CF] Functions requiring qualifications (19 Nov 2020 to 30 Sep 2021)
    • Appointed representative dealing with clients for which they require qualification (19 Nov 2020 to 30 Sep 2021)
    • [FCA CF] Client dealing (19 Nov 2020 to 30 Sep 2021)
    • CF30 Customer (16 May 2018 to 30 Sep 2021)

Recent activity

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

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