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
    • 13. Giving personal recommendations on and dealing with derivatives
    • 14. Managing investments
    • [FCA CF] Manager of certification employee (since 1 Nov 2025)
    • [FCA CF] Client dealing (since 1 Nov 2025)
    • [FCA CF] Functions requiring qualifications (since 1 Nov 2025)
    • 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
    • 13. Giving personal recommendations on and dealing with derivatives
    • [FCA CF] Manager of certification employee (since 1 Feb 2020)
    • [FCA CF] Client dealing (since 1 Feb 2020)
    • [FCA CF] Functions requiring qualifications (since 1 Feb 2020)
    • CF30 Customer (30 Sep 2017 to 8 Dec 2019)
  • Schroder Investment Management North America Limited (no longer approved here)

    FRN 144543

    • CF27 Investment Management (31 Jul 2002 to 22 Nov 2004)
    • CF21 Investment Adviser (31 Jul 2002 to 22 Nov 2004)
  • Schroder Investment Management Limited (no longer approved here)

    FRN 119348

    • CF27 Investment Management (1 Dec 2001 to 22 Nov 2004)
    • CF21 Investment Adviser (1 Dec 2001 to 22 Nov 2004)
  • SCHRODER & CO. LIMITED (no longer approved here)

    FRN 144206

    • CF21 Investment Adviser (1 Dec 2001 to 1 Dec 2005)
    • CF27 Investment Management (1 Dec 2001 to 1 Dec 2005)

Recent activity

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

No changes recorded yet.