Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 13. Giving personal recommendations on and dealing with derivatives
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (24 Jan 2018 to 8 Dec 2019)
  • THOMAS GRANT & COMPANY LIMITED (no longer approved here)

    FRN 163296

    • CF26 Customer Trading (14 Jun 2002 to 12 Jan 2004)
    • CF21 Investment Adviser (14 Jun 2002 to 12 Jan 2004)
    • CF27 Investment Management (14 Jun 2002 to 12 Jan 2004)

Recent activity

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

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