Thomas Raby

Last updated
1 week ago
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Where they hold approval

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

  • St. James's Place Wealth Management Plc

    FRN 195351

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • Appointed representative dealing with clients for which they require qualification (since 9 Dec 2019)
    • CF30 Customer (since 13 Nov 2019)
  • Thomas Raby

    FRN 916518

    • (1)Employed By (since 13 Nov 2019)
  • Scottish Widows Schroder Personal Wealth Limited (no longer approved here)

    FRN 830170

    • CF30 Customer (7 Jun 2019 to 8 Nov 2019)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF21 Investment Adviser (15 Nov 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (17 Jan 2005 to 15 Nov 2006)

Recent activity

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

No changes recorded yet.