Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Brooks Macdonald Asset Management Limited
FRN 184918
- 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
- 2. Giving personal recommendations on 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
- [FCA CF] Manager of certification employee (since 1 Aug 2022)
- [FCA CF] Functions requiring qualifications (since 16 Nov 2020)
- [FCA CF] Client dealing (since 16 Nov 2020)
- [FCA CF] Manager of certification employee (16 Nov 2020 to 15 Nov 2021)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.