CLEARBRIDGE INVESTMENT MANAGEMENT LIMITED of EDINBURGH is an SEC-registered investment adviser (CRD 139012). Regulatory assets under management: $9.9B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Performance.
Clients served: High net worth, Pooled vehicles, Investment cos.
Showing 25 of 104 people.
| Name | Role | Location |
|---|---|---|
| Nigel John Anderson | DIRECTOR | — |
| Andrew James Ashton | CEO AND DIRECTOR; CHIEF EXECUTIVE OFFICER | — |
| Stuart James Davidson | DIRECTOR, CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER | — |
| Joanna Helen Grace Nolan | CHIEF COMPLIANCE OFFICER | — |
| Katrina S Dudley | CHIEF INVESTMENT OFFICER; DIRECTOR | — |
| WALKER CHRISTOPHER MICHAEL | DIRECTOR | — |
| GARDNER GARY PAUL | DIRECTOR | — |
| ANDERSON THOMAS JOHN | CHIEF COMPLIANCE OFFICER | — |
| HUGHES ROBERT JOHN | DIRECTOR | — |
| LOGAN DAVID JAMES | DIRECTOR | — |
| FAIRWEATHER JAMES MACGREGOR AYTON | DIRECTOR | — |
| THOMAS MICHAEL WILLIAM | DIRECTOR | — |
| HALL TIMOTHY JULIAN DALTON | DIRECTOR | — |
| WATT WILLIAM | CHAIRMAN | — |
| MACLEOD ALLAN DAVIDSON | DIRECTOR | — |
| CAMPBELL RALPH MCGREGOR | CHIEF FINANCE OFFICER; CHIEF FINANCE OFFICER / DIRECTOR; COMPANY SECRETARY (+1 more) | — |
| SANDISON JAMES MACGREGOR | DIRECTOR | — |
| SOWERBY ANDREW | DIRECTOR | — |
| MCGUIGAN SHEILA ANN | DIRECTOR | — |
| HUGHES JACQUI | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER/DIRECTOR | — |
| EVANS RICHARD GILES | DIRECTOR | — |
| MCLELLAND ELAINE | LEGAL OFFICER | — |
| BUTLER CHRISTOPHER ANDREW | DIRECTOR | — |
| DONALDSON KEITH CARNIE | DIRECTOR | — |
| GOODWIN PETE DUNCAN | DIRECTOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2018-08-27 | regulatory | ON AUGUST 27, 2018, THE SEC ISSUED AN ORDER THAT FOUND THAT LEGG MASON HAD VIOLATED SECTION 13(B)(2)(B) OF THE SECURITIES EXCHANGE ACT OF 1934 BY FAILING TO DEVISE AND MAINTAIN A SYSTEM OF APPROPRIATE INTERNAL ACCOUNTING CONTROLS WITH RESPECT TO THE USE OF INTRODUCING BROKERS AND OTHER INTERMEDIARIE… | Final | — |