Where they hold approval

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

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 3. Giving personal recommendations on derivatives
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • [FCA CF] Functions requiring qualifications (since 17 Jan 2021)
  • Coutts & Company (no longer approved here)

    FRN 122287

    • [FCA CF] Functions requiring qualifications (7 Mar 2016 to 5 Nov 2021)
    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

Recent activity

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

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