Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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R C Brown Investment Management Plc
FRN 146002
- 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 14. Managing investments
- [FCA CF] Client dealing (since 18 Dec 2023)
- [FCA CF] Functions requiring qualifications (since 18 Dec 2023)
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In2 Planning Limited
FRN 456198
- 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- [FCA CF] Client dealing (since 9 Dec 2019)
- CF30 Customer (20 Jan 2016 to 8 Dec 2019)
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- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 26 Jan 2026)
- [FCA CF] Client dealing (9 Dec 2019 to 26 Jan 2026)
- [FCA CF] Manager of certification employee (9 Dec 2019 to 26 Jan 2026)
- CF30 Customer (2 Apr 2009 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.