Last updated
2 weeks ago
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Where they hold approval

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

  • Stonehage Fleming Financial Services Limited (no longer approved here)

    FRN 150118

    • CF10 Compliance Oversight (1 Jan 2017 to 28 Sep 2017)
    • CF11 Money Laundering Reporting (1 Jan 2017 to 28 Sep 2017)
  • STONEHAGE FLEMING WEALTH PLANNING LIMITED (no longer approved here)

    FRN 562235

    • CF10 Compliance Oversight (1 Jan 2017 to 28 Sep 2017)
    • CF11 Money Laundering Reporting (1 Jan 2017 to 28 Sep 2017)
  • Stonehage Fleming Investment Management Limited (no longer approved here)

    FRN 194382

    • CF10 Compliance Oversight (15 Aug 2012 to 28 Sep 2017)
    • CF11 Money Laundering Reporting (15 Aug 2012 to 28 Sep 2017)
  • Stonehage Fleming Advisory Limited (no longer approved here)

    FRN 194929

    • CF11 Money Laundering Reporting (15 Aug 2012 to 28 Sep 2017)
    • CF10 Compliance Oversight (15 Aug 2012 to 28 Sep 2017)
  • Stifel Nicolaus Europe Limited (no longer approved here)

    FRN 190412

    • CF1 Director (7 Apr 2008 to 17 Mar 2009)
    • CF30 Customer (1 Nov 2007 to 17 Mar 2009)
    • CF10 Compliance Oversight (1 Dec 2001 to 17 Mar 2009)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 17 Mar 2009)

Recent activity

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

No changes recorded yet.