Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Baron & Grant Investment Management Limited
FRN 930300
- 14. Managing investments
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
- 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- Responsible for Insurance Distribution (since 4 Apr 2023)
- Responsibility for MCD Intermediation (since 3 Apr 2023)
- SMF3 Executive Director (since 4 Jan 2021)
- [FCA CF] Client dealing (since 4 Jan 2021)
- [FCA CF] Functions requiring qualifications (since 4 Jan 2021)
- [FCA CF] Manager of certification employee (since 4 Jan 2021)
Recent activity
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