Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
Royal Exchange Investment Management Ltd
FRN 1042599
- 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
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- [FCA CF] Client dealing (since 8 Dec 2025)
- [FCA CF] Functions requiring qualifications (since 8 Dec 2025)
- [FCA CF] Manager of certification employee (since 8 Dec 2025)
- SMF3 Executive Director (since 4 Dec 2025)
-
RAYMOND JAMES INVESTMENT SERVICES LIMITED
FRN 194713
- 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
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- [FCA CF] Manager of certification employee (since 28 Aug 2025)
- [FCA CF] Client dealing (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- CF30 Customer (4 May 2018 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.