Last updated
3 weeks ago
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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
    • 14. Managing investments
    • [FCA CF] Manager of certification employee (since 1 Oct 2020)
    • [FCA CF] Functions requiring qualifications (since 1 Oct 2020)
    • [FCA CF] Client dealing (since 1 Oct 2020)
    • CF30 Customer (25 Jan 2008 to 8 Dec 2019)
  • Thesis Asset Management Limited (no longer approved here)

    FRN 114354

    • CF30 Customer (1 Nov 2007 to 27 Dec 2007)
    • CF27 Investment Management (26 Apr 2006 to 31 Oct 2007)
  • First Equity Limited (no longer approved here)

    FRN 124394

    • CF21 Investment Adviser (20 Sep 2005 to 10 Feb 2006)
    • CF27 Investment Management (20 Sep 2005 to 10 Feb 2006)
  • HCM Asset Management Ltd (no longer approved here)

    FRN 402512

    • Employed By (12 Oct 2004 to 10 Feb 2006)
  • Atomos Investments Limited (no longer approved here)

    FRN 122588

    • CF27 Investment Management (13 Feb 2004 to 1 Oct 2004)

Recent activity

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

No changes recorded yet.