Where they hold approval

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

    • 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] Client dealing (since 16 Oct 2024)
    • [FCA CF] Functions requiring qualifications (since 16 Oct 2024)
  • BROWN SHIPLEY & CO. LIMITED (no longer approved here)

    FRN 124548

    • [FCA CF] Functions requiring qualifications (26 May 2022 to 15 Dec 2023)
  • Brooks Macdonald Asset Management Limited (no longer approved here)

    FRN 184918

    • [FCA CF] Client dealing (16 Nov 2020 to 29 Dec 2021)
    • [FCA CF] Functions requiring qualifications (16 Nov 2020 to 29 Dec 2021)

Recent activity

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

No changes recorded yet.