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
    • 4. Giving personal recommendations on retail investment products which are not 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] Functions requiring qualifications (since 24 Feb 2023)
    • [FCA CF] Client dealing (since 24 Feb 2023)
  • BROWN SHIPLEY & CO. LIMITED (no longer approved here)

    FRN 124548

    • [FCA CF] Functions requiring qualifications (9 Sep 2019 to 4 Apr 2022)
    • [FCA CF] Manager of certification employee (9 Sep 2019 to 27 Aug 2021)
    • CF30 Customer (1 Dec 2011 to 6 Mar 2016)
  • Rathbones Investment Management Limited (no longer approved here)

    FRN 116316

    • CF27 Investment Management (26 Aug 2004 to 31 Mar 2005)
    • CF21 Investment Adviser (26 Aug 2004 to 31 Mar 2005)
    • CF22 Investment Adviser (Trainee) (5 Apr 2004 to 26 Aug 2004)

Recent activity

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

No changes recorded yet.