Where they hold approval

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

    • 14. Managing investments
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 3. Giving personal recommendations on derivatives
    • [FCA CF] Manager of certification employee (since 21 Aug 2017)
    • [FCA CF] Client dealing (since 21 Aug 2017)
    • [FCA CF] Functions requiring qualifications (since 21 Aug 2017)
  • Schroder Investment Management Limited (no longer approved here)

    FRN 119348

    • [FCA CF] Manager of certification employee (2 Mar 2020 to 26 Jan 2021)
  • Stonehage Fleming Investment Management Limited (no longer approved here)

    FRN 194382

    • CF30 Customer (1 Nov 2007 to 26 May 2017)
    • CF27 Investment Management (26 Jul 2006 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.