Richard Daniel Dawson

Last updated
3 weeks ago
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Where they hold approval

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

  • Rathbones Investment Management Limited

    FRN 116316

    • 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 1 Mar 2023)
    • [FCA CF] Manager of certification employee (since 7 Mar 2016)
    • [FCA CF] Functions requiring qualifications (since 7 Mar 2016)
    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF21 Investment Adviser (8 Sep 2003 to 31 Oct 2007)
    • CF27 Investment Management (14 Jan 2003 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (1 Jul 2002 to 8 Sep 2003)
  • Credit Suisse (UK) Limited (no longer approved here)

    FRN 124269

    • CF21 Investment Adviser (1 Dec 2001 to 27 Jun 2002)
    • CF27 Investment Management (1 Dec 2001 to 27 Jun 2002)

Recent activity

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

No changes recorded yet.