Where they hold approval

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

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • 13. Giving personal recommendations on and dealing with derivatives
    • [FCA CF] Manager of certification employee (since 10 Jul 2023)
    • [FCA CF] Client dealing (since 10 Jul 2023)
    • [FCA CF] Functions requiring qualifications (since 10 Jul 2023)
  • ARBION LIMITED (no longer approved here)

    FRN 513138

    • CF30 Customer (20 Jan 2012 to 1 Jan 2013)
  • Union Bancaire Privée (UK) Limited (no longer approved here)

    FRN 119250

    • CF30 Customer (1 Nov 2007 to 8 Dec 2011)
    • CF27 Investment Management (29 Apr 2004 to 31 Oct 2007)
    • CF21 Investment Adviser (29 Apr 2004 to 31 Oct 2007)
  • BlackRock Investment Management (UK) Limited (no longer approved here)

    FRN 119293

    • CF27 Investment Management (1 Dec 2001 to 8 Mar 2004)

Recent activity

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

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