Michael Thomas Browning

Last updated
1 week ago
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Where they hold approval

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

  • Ascot Lloyd Limited

    FRN 578614

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 26 Sep 2023)
    • [FCA CF] Functions requiring qualifications (since 26 Sep 2023)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • Appointed representative dealing with clients for which they require qualification (4 Apr 2022 to 14 Jul 2023)
    • CF30 Customer (25 Mar 2022 to 14 Jul 2023)
  • HSBC UK Bank Plc (no longer approved here)

    FRN 765112

    • [FCA CF] Functions requiring qualifications (15 Jan 2019 to 11 Aug 2021)

Recent activity

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

No changes recorded yet.