Nicholas Edward Orr

Last updated
3 weeks ago
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Where they hold approval

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

  • SCHRODER & CO. LIMITED

    FRN 144206

    • 14. Managing investments
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 3. Giving personal recommendations on derivatives
    • [FCA CF] Functions requiring qualifications (since 21 Feb 2018)
    • [FCA CF] Client dealing (since 21 Feb 2018)
    • [FCA CF] Material risk taker (since 21 Feb 2018)
    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF16 Significant Mgt (Desgntd Investment Business) (31 Mar 2004 to 7 Jun 2007)
    • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Schroder Investment Management Limited (no longer approved here)

    FRN 119348

    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (17 May 2006 to 31 Oct 2007)
    • CF27 Investment Management (17 May 2006 to 31 Oct 2007)
  • Schroder Investment Management North America Limited (no longer approved here)

    FRN 144543

    • CF30 Customer (1 Nov 2007 to 10 Apr 2017)
    • CF21 Investment Adviser (17 May 2006 to 31 Oct 2007)
    • CF27 Investment Management (17 May 2006 to 31 Oct 2007)

Recent activity

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

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