Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Rathbones Investment Management Limited
FRN 116316
- 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)
- [FCA CF] Manager of certification employee (since 16 Oct 2024)
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- [FCA CF] Functions requiring qualifications (26 Mar 2021 to 15 Sep 2021)
- SMF1 Chief Executive (9 Dec 2019 to 15 Sep 2021)
- SMF3 Executive Director (9 Dec 2019 to 15 Sep 2021)
- CF3 Chief Executive (3 Jan 2017 to 8 Dec 2019)
- CF1 Director (10 Aug 2015 to 8 Dec 2019)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF27 Investment Management (2 Apr 2003 to 31 Oct 2007)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.