Where they hold approval

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

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Functions requiring qualifications (since 26 Sep 2023)
    • [FCA CF] Client dealing (since 26 Sep 2023)
  • Rathbones Investment Management Limited (no longer approved here)

    FRN 116316

    • [FCA CF] Functions requiring qualifications (10 Dec 2018 to 5 May 2023)
  • ARGYLE CONSULTING LIMITED (no longer approved here)

    FRN 185561

    • CF30 Customer (11 Apr 2016 to 7 Dec 2018)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF30 Customer (17 Feb 2014 to 6 Mar 2016)
    • CF22 Investment Adviser (Trainee) (16 Jun 2006 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.