Where they hold approval

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

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 8. Giving personal recommendations on investments in the course of corporate finance business
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • [FCA CF] Client dealing (since 19 Apr 2024)
    • [FCA CF] Functions requiring qualifications (since 19 Apr 2024)
  • BROWN SHIPLEY & CO. LIMITED (no longer approved here)

    FRN 124548

    • [FCA CF] Manager of certification employee (3 Mar 2022 to 7 Feb 2024)
    • [FCA CF] Proprietary trader (3 Aug 2020 to 31 Aug 2021)
    • [FCA CF] Functions requiring qualifications (9 Sep 2019 to 7 Feb 2024)
  • Deutsche Bank AG (no longer approved here)

    FRN 150018

    • [FCA CF] Client dealing (6 Jul 2016 to 3 Jan 2018)

Recent activity

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

No changes recorded yet.