Where they hold approval

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

    • 14. Managing investments
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Functions requiring qualifications (since 2 Dec 2020)
    • [FCA CF] Client dealing (since 2 Dec 2020)
    • [FCA CF] Manager of certification employee (2 Dec 2020 to 31 Mar 2024)
    • CF30 Customer (20 Mar 2019 to 8 Dec 2019)
  • CANACCORD GENUITY ASSET MANAGEMENT LIMITED (no longer approved here)

    FRN 209741

    • CF30 Customer (1 Nov 2007 to 2 Oct 2019)
    • CF29 Significant management (1 Nov 2007 to 31 Mar 2011)
    • CF16 Significant Mgt (Desgntd Investment Business) (4 May 2005 to 31 Oct 2007)
    • CF21 Investment Adviser (9 Dec 2003 to 31 Oct 2007)
    • CF27 Investment Management (9 Dec 2003 to 31 Oct 2007)
  • James Brearley & Sons Limited (no longer approved here)

    FRN 189219

    • CF21 Investment Adviser (1 Dec 2001 to 18 Aug 2003)
    • CF27 Investment Management (1 Dec 2001 to 18 Aug 2003)

Recent activity

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

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