Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Oberon Investments Limited
FRN 124885
- 14. Managing investments
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- [FCA CF] Functions requiring qualifications (since 3 May 2024)
- [FCA CF] Client dealing (since 3 May 2024)
- [FCA CF] Manager of certification employee (since 3 May 2024)
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- [FCA CF] Client dealing (9 Dec 2019 to 7 Feb 2024)
- [FCA CF] Manager of certification employee (9 Dec 2019 to 7 Feb 2024)
- [FCA CF] Functions requiring qualifications (9 Dec 2019 to 7 Feb 2024)
- CF30 Customer (18 Dec 2012 to 8 Dec 2019)
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- CF30 Customer (1 Nov 2007 to 20 Apr 2009)
- CF21 Investment Adviser (9 Feb 2007 to 31 Oct 2007)
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- CF21 Investment Adviser (2 Apr 2007 to 2 Apr 2007)
- CF27 Investment Management (2 Apr 2007 to 2 Apr 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.