Stacey Lee Ash

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.

  • Rockhold Asset Management Limited

    FRN 565311

    • 14. Managing investments
    • [FCA CF] Functions requiring qualifications (since 31 Jan 2022)
    • [FCA CF] Client dealing (since 31 Jan 2022)
    • SMF3 Executive Director (9 Dec 2019 to 15 Apr 2025)
    • CF10 Compliance Oversight (2 Feb 2012 to 1 Feb 2016)
    • CF30 Customer (2 Feb 2012 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (2 Feb 2012 to 8 Nov 2013)
    • CF1 Director (2 Feb 2012 to 8 Dec 2019)
  • RAYMOND JAMES INVESTMENT SERVICES LIMITED (no longer approved here)

    FRN 194713

    • CF30 Customer (1 Nov 2007 to 6 Dec 2013)
    • CF27 Investment Management (1 Nov 2004 to 31 Oct 2007)
    • CF21 Investment Adviser (11 Aug 2004 to 31 Oct 2007)
  • IG Markets Limited (no longer approved here)

    FRN 195355

    • CF21 Investment Adviser (31 Mar 2003 to 4 May 2004)
    • CF26 Customer Trading (1 Dec 2001 to 31 Mar 2003)
  • IG Index Limited (no longer approved here)

    FRN 114059

    • CF26 Customer Trading (1 Dec 2001 to 4 May 2004)
    • CF1 Director (1 Dec 2001 to 4 May 2004)

Recent activity

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

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