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.

    • [FCA CF] Client dealing (since 10 Mar 2026)
    • [FCA CF] Material risk taker (since 10 Mar 2026)
  • Schroder Investment Management Limited (no longer approved here)

    FRN 119348

    • [FCA CF] Material risk taker (26 Sep 2022 to 31 Jul 2025)
    • [FCA CF] Manager of certification employee (1 Oct 2020 to 31 Jul 2025)
    • [FCA CF] Client dealing (1 Oct 2020 to 31 Jul 2025)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF27 Investment Management (2 Aug 2006 to 31 Oct 2007)
    • CF21 Investment Adviser (22 Dec 2004 to 2 Aug 2006)
  • Schroder Investment Management North America Limited (no longer approved here)

    FRN 144543

    • [FCA CF] Manager of certification employee (1 Oct 2020 to 31 Jul 2025)
    • [FCA CF] Client dealing (1 Oct 2020 to 31 Jul 2025)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF27 Investment Management (2 Aug 2006 to 31 Oct 2007)
    • CF21 Investment Adviser (22 Dec 2004 to 2 Aug 2006)
  • Schroder Unit Trusts Limited (no longer approved here)

    FRN 197288

    • [FCA CF] Material risk taker (1 Oct 2020 to 31 Jul 2025)
    • [FCA CF] Manager of certification employee (1 Oct 2020 to 31 Jul 2025)

Recent activity

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

No changes recorded yet.