Suresh Gautam

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.

  • Ascot Lloyd Limited

    FRN 578614

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 16 Nov 2022)
    • [FCA CF] Significant management (since 11 Mar 2021)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (1 Nov 2007 to 16 Jan 2009)
    • CF22 Investment Adviser (Trainee) (5 Sep 2006 to 31 Oct 2007)
  • RLUM Limited (no longer approved here)

    FRN 144032

    • CF21 Investment Adviser (1 Dec 2001 to 27 Jun 2003)

Recent activity

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

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