Tom Fleming

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.

  • Rothschild & Co Wealth Management UK Limited

    FRN 218613

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Client dealing (since 20 Jan 2026)
    • [FCA CF] Functions requiring qualifications (since 20 Jan 2026)
  • BROWN SHIPLEY & CO. LIMITED (no longer approved here)

    FRN 124548

    • [FCA CF] Functions requiring qualifications (15 Mar 2024 to 14 Nov 2024)
    • [FCA CF] Proprietary trader (1 Apr 2020 to 31 Aug 2021)

Recent activity

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

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