Michael Patrick O'Brien

Last updated
6 days ago
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Where they hold approval

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

  • Navera Investment Management Limited

    FRN 923827

    • 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] Material risk taker (since 1 May 2020)
    • [FCA CF] Client dealing (since 1 May 2020)
    • [FCA CF] Functions requiring qualifications (since 1 May 2020)
    • [FCA CF] Manager of certification employee (20 Sep 2021 to 6 Jan 2025)
  • LGT Wealth Management Limited (no longer approved here)

    FRN 466684

    • CF30 Customer (4 Oct 2013 to 19 Dec 2014)
  • Newton Investment Management Limited (no longer approved here)

    FRN 119331

    • CF30 Customer (1 Nov 2007 to 28 Sep 2013)
    • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
  • BNY Mellon Investment Management EMEA Limited (no longer approved here)

    FRN 119196

    • CF27 Investment Management (1 Dec 2001 to 8 Jan 2002)

Recent activity

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

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