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
- 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 14. Managing investments
- [FCA CF] Client dealing (since 1 Mar 2023)
- [FCA CF] Functions requiring qualifications (since 20 Feb 2023)
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- [FCA CF] Functions requiring qualifications (2 Dec 2020 to 18 Aug 2022)
- [FCA CF] Client dealing (2 Dec 2020 to 18 Aug 2022)
- CF30 Customer (25 Mar 2019 to 8 Dec 2019)
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- CF30 Customer (22 Jan 2016 to 2 Oct 2019)
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- CF30 Customer (3 Sep 2013 to 16 Nov 2015)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.