Peter Richard Botham

Watch for changes

Where they hold approval

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

Throgmorton Capital Management Limited (no longer approved here)
FRN 827982
- CF30 Customer (1 Apr 2019 to 8 Dec 2019)
BROWN SHIPLEY & CO. LIMITED (no longer approved here)
FRN 124548
- CF30 Customer (13 May 2008 to 5 Feb 2016)
RAYMOND JAMES INVESTMENT SERVICES LIMITED (no longer approved here)
FRN 194713
- CF30 Customer (1 Nov 2007 to 4 Dec 2009)
- CF21 Investment Adviser (5 Jan 2006 to 31 Oct 2007)
- CF27 Investment Management (5 Jan 2006 to 31 Oct 2007)
Evelyn Partners Securities (no longer approved here)
FRN 124255
- CF21 Investment Adviser (1 Dec 2001 to 21 Oct 2005)
- CF27 Investment Management (1 Dec 2001 to 21 Oct 2005)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.