Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Rathbones Investment Management Limited
FRN 116316
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Client dealing (since 16 Oct 2024)
- [FCA CF] Functions requiring qualifications (since 16 Oct 2024)
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- [FCA CF] Functions requiring qualifications (14 Oct 2021 to 13 Jul 2022)
- [FCA CF] Client dealing (14 Oct 2021 to 13 Jul 2022)
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- Employed By (2 Sep 2020 to 13 Jul 2022)
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- CF30 Customer (2 Sep 2020 to 13 Jul 2022)
- [FCA CF] Functions requiring qualifications (2 Sep 2020 to 13 Jul 2022)
- Appointed representative dealing with clients for which they require qualification (2 Sep 2020 to 13 Jul 2022)
Recent activity
Updates to this individual's record on the FCA register.
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