Nicholas Roe-Ely

Last updated
2 weeks ago
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Where they hold approval

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

  • Rathbones Investment Management Limited

    FRN 116316

    • 14. Managing investments
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Client dealing (since 1 Mar 2023)
    • [FCA CF] Manager of certification employee (since 7 Mar 2016)
    • [FCA CF] Functions requiring qualifications (since 7 Mar 2016)
    • CF30 Customer (28 Nov 2011 to 6 Mar 2016)
  • Hume Capital Securities plc (no longer approved here)

    FRN 504211

    • CF30 Customer (27 May 2010 to 3 Jun 2011)
  • J O Hambro Capital Management Limited (no longer approved here)

    FRN 147406

    • CF30 Customer (1 Nov 2007 to 11 Apr 2008)
    • CF27 Investment Management (31 Mar 2007 to 31 Oct 2007)
  • Evelyn Partners Securities (no longer approved here)

    FRN 124255

    • CF21 Investment Adviser (1 Dec 2001 to 17 Jun 2005)
    • CF27 Investment Management (1 Dec 2001 to 17 Jun 2005)

Recent activity

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

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