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
    • 13. Giving personal recommendations on and dealing with derivatives
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 10 Jan 2020)
  • HSBC Global Asset Management (UK) Limited (no longer approved here)

    FRN 122335

    • CF30 Customer (26 Jul 2017 to 4 Dec 2018)
  • BROWN SHIPLEY & CO. LIMITED (no longer approved here)

    FRN 124548

    • CF30 Customer (1 Jun 2015 to 6 Mar 2016)

Recent activity

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

No changes recorded yet.