Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Rathbones Investment Management Limited
FRN 116316
- 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
- [FCA CF] Client dealing (since 18 Sep 2025)
- [FCA CF] Functions requiring qualifications (since 18 Sep 2025)
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- [FCA CF] Client dealing (31 Jan 2019 to 9 May 2025)
- [FCA CF] Manager of certification employee (23 Oct 2018 to 9 May 2025)
- [FCA CF] Functions requiring qualifications (7 Mar 2016 to 9 May 2025)
- CF30 Customer (31 May 2011 to 6 Mar 2016)
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- CF30 Customer (1 Nov 2007 to 27 May 2011)
- CF27 Investment Management (17 Jul 2007 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.