Michael John Eric Brown

Last updated
3 weeks ago
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Where they hold approval

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

  • PSA CORPORATE SERVICES LTD

    FRN 975554

    • (2)Employed By (since 19 May 2023)
  • NBL Financial Management Limited

    FRN 223936

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • CF1 Director (AR) (since 18 May 2023)
    • CF30 Customer (since 5 Apr 2022)
    • Appointed representative dealing with clients for which they require qualification (since 1 Feb 2022)
    • [FCA CF] Functions requiring qualifications (1 Feb 2022 to 2 Feb 2022)
    • [FCA CF] Client dealing (1 Feb 2022 to 2 Feb 2022)
  • Peter Stewart Associates Limited

    FRN 146806

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • Responsibility for MCD Intermediation (since 30 Sep 2016)
    • CF1 Director (AR) (12 Nov 2015 to 12 Sep 2024)
    • CF1 Director (13 May 2010 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (13 May 2010 to 8 Dec 2019)
    • CF30 Customer (15 Apr 2010 to 23 Aug 2024)
  • Automated Financial Advice Ltd. (no longer approved here)

    FRN 933306

    • Employed By (5 Apr 2022 to 17 Nov 2022)
  • Peter Stewart International Ltd (no longer approved here)

    FRN 779186

    • Employed By (26 May 2017 to 18 Mar 2019)
  • PSIR LTD (no longer approved here)

    FRN 722726

    • Employed By (12 Nov 2015 to 12 Jan 2023)
  • Canaccord Genuity Limited (no longer approved here)

    FRN 182011

    • CF30 Customer (23 Mar 2009 to 4 May 2010)

Recent activity

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

No changes recorded yet.