Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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BROWN SHIPLEY & CO. LIMITED
FRN 124548
- 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- [FCA CF] Functions requiring qualifications (since 9 Sep 2019)
- [FCA CF] Manager of certification employee (since 1 Dec 2017)
- [FCA CF] Material risk taker (9 Jun 2022 to 1 Aug 2024)
- [PRA CF] Significant risk taker or Material risk taker (9 Sep 2019 to 1 Aug 2024)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.