Adam Bergenfield

Last updated
2 weeks ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • DB UK Bank Limited

    FRN 140848

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 3. Giving personal recommendations on derivatives
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 13. Giving personal recommendations on and dealing with derivatives
    • [FCA CF] Functions requiring qualifications (since 21 Nov 2024)
    • [FCA CF] Client dealing (since 21 Nov 2024)
    • [FCA CF] Manager of certification employee (21 Nov 2024 to 6 Mar 2025)
  • Credit Suisse (UK) Limited (no longer approved here)

    FRN 124269

    • [FCA CF] Client dealing (26 Jul 2023 to 8 Oct 2024)
    • [FCA CF] Manager of certification employee (26 Jul 2023 to 8 Oct 2024)
    • [FCA CF] Functions requiring qualifications (12 Sep 2018 to 1 Mar 2019)
  • Franklin Templeton Investment Management Limited (no longer approved here)

    FRN 121779

    • CF30 Customer (15 Feb 2017 to 18 May 2018)
  • Sapia Partners LLP (no longer approved here)

    FRN 550103

    • CF30 Customer (5 Jun 2014 to 28 Oct 2014)
    • CF4 Partner (AR) (5 Jun 2014 to 28 Oct 2014)
  • BTIG Limited (no longer approved here)

    FRN 484589

    • CF30 Customer (8 Sep 2010 to 27 Feb 2014)

Recent activity

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

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