Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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RAYMOND JAMES INVESTMENT SERVICES LIMITED
FRN 194713
- 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
- [FCA CF] Client dealing (since 25 Jan 2023)
- [FCA CF] Functions requiring qualifications (since 25 Jan 2023)
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ICF Management Limited
FRN 466915
- 16. Safeguarding and administering investments or holding client money
- 14. Managing investments
- [FCA CF] Functions requiring qualifications (since 22 May 2020)
- [FCA CF] Client dealing (since 22 May 2020)
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- CF30 Customer (11 Feb 2019 to 18 Nov 2019)
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- CF27 Investment Management (1 Dec 2001 to 15 Mar 2002)
- CF21 Investment Adviser (1 Dec 2001 to 15 Mar 2002)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.