Stuart Giles Rothwell

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.

  • 1OAK Capital Limited (no longer approved here)

    FRN 501453

    • SMF3 Executive Director (9 Dec 2019 to 23 Apr 2024)
    • [FCA CF] Client dealing (9 Dec 2019 to 30 Apr 2025)
    • CF1 Director (11 Jan 2018 to 8 Dec 2019)
    • CF30 Customer (17 Jul 2012 to 8 Dec 2019)
    • CF2 Non Executive Director (9 Sep 2011 to 17 Jul 2012)
  • JPMorgan Chase Bank, National Association (no longer approved here)

    FRN 124491

    • CF30 Customer (1 Nov 2007 to 28 Jul 2008)
    • CF21 Investment Adviser (29 Oct 2007 to 31 Oct 2007)
  • J.P. Morgan Securities plc (no longer approved here)

    FRN 155240

    • CF30 Customer (1 Nov 2007 to 28 Jul 2008)
    • CF21 Investment Adviser (29 Oct 2007 to 31 Oct 2007)
  • Barclays Capital Securities Limited (no longer approved here)

    FRN 124431

    • CF21 Investment Adviser (1 Dec 2001 to 6 Aug 2007)

Recent activity

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

No changes recorded yet.