Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Thornbridge Investment Management LLP
FRN 713859
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- [FCA CF] Client dealing (since 25 Aug 2022)
- Appointed representative dealing with clients for which they require qualification (since 25 Aug 2022)
- CF30 Customer (since 23 Aug 2022)
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Luna Investment Management Limited
FRN 923454
- (2)Employed By (since 23 Aug 2022)
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- [FCA CF] Functions requiring qualifications (9 Sep 2019 to 6 Apr 2022)
- [FCA CF] Manager of certification employee (9 Sep 2019 to 31 Dec 2019)
- CF30 Customer (1 Nov 2007 to 6 Mar 2016)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
- CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.