Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
SCHRODER & CO. LIMITED
FRN 144206
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 14. Managing investments
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Functions requiring qualifications (since 6 Jan 2017)
- [FCA CF] Client dealing (since 6 Jan 2017)
- [FCA CF] Manager of certification employee (since 6 Jan 2017)
-
- CF30 Customer (4 Mar 2015 to 28 Oct 2016)
-
- CF21 Investment Adviser (1 Dec 2001 to 1 Dec 2001)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.