Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
Brooks Macdonald Asset Management Limited
FRN 184918
- 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
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Material risk taker (since 5 Mar 2024)
- [FCA CF] Manager of certification employee (since 1 Aug 2022)
- [FCA CF] Functions requiring qualifications (since 16 Nov 2020)
- [FCA CF] Client dealing (since 16 Nov 2020)
- SMF18 Other Overall Responsibility (2 May 2024 to 13 Apr 2026)
- CF1 Director (18 Jun 2012 to 1 Nov 2012)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF26 Customer Trading (12 Jul 2006 to 31 Oct 2007)
- CF21 Investment Adviser (15 Sep 2004 to 31 Oct 2007)
- CF22 Investment Adviser (Trainee) (3 Mar 2003 to 15 Sep 2004)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.