Thomas Michael Nelson

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.

  • NINETY ONE UK LIMITED (no longer approved here)

    FRN 122420

    • [FCA CF] Functions requiring qualifications (25 Nov 2020 to 25 Apr 2023)
    • [FCA CF] Client dealing (25 Nov 2020 to 31 Jul 2024)
    • CF30 Customer (10 Dec 2012 to 8 Dec 2019)
  • Ninety One Fund Managers UK Limited (no longer approved here)

    FRN 145007

    • [FCA CF] Client dealing (25 Nov 2020 to 1 Aug 2024)
    • [FCA CF] Functions requiring qualifications (25 Nov 2020 to 25 Apr 2023)
    • CF30 Customer (10 Dec 2012 to 8 Dec 2019)
  • Guinness Capital Management Limited (no longer approved here)

    FRN 514988

    • CF30 Customer (1 Apr 2010 to 14 Aug 2012)
  • Guinness Atkinson Asset Management, Inc (no longer approved here)

    FRN 223051

    • CF30 Customer (1 Nov 2007 to 14 Aug 2012)
    • CF27 Investment Management (4 Nov 2005 to 31 Oct 2007)
  • GUINNESS ASSET MANAGEMENT LIMITED (no longer approved here)

    FRN 223077

    • CF30 Customer (1 Nov 2007 to 14 Aug 2012)
    • CF27 Investment Management (7 Nov 2005 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.