Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Oberon Investments Limited
FRN 124885
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 14. Managing investments
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- [FCA CF] Client dealing (since 9 Jul 2024)
- [FCA CF] Functions requiring qualifications (since 6 Feb 2023)
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- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 3 Feb 2023)
- CF30 Customer (4 Feb 2011 to 8 Dec 2019)
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- CF30 Customer (1 Nov 2007 to 25 Sep 2009)
- CF1 Director (1 Dec 2001 to 18 Aug 2006)
- CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
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- CF27 Investment Management (1 Dec 2001 to 3 Jun 2003)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.