Adam Carl Waldman

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.

  • WMG Advisors LLP

    FRN 419405

    • [FCA CF] Material risk taker (since 18 Mar 2021)
    • [FCA CF] Manager of certification employee (since 18 Mar 2021)
    • [FCA CF] Client dealing (since 18 Mar 2021)
    • CF30 Customer (3 Sep 2014 to 8 Dec 2019)
  • Mariana UFP LLP (no longer approved here)

    FRN 551170

    • CF30 Customer (24 Apr 2012 to 14 Aug 2014)
  • BGC Brokers L.P (no longer approved here)

    FRN 454814

    • CF30 Customer (25 Nov 2010 to 27 Apr 2012)
  • RBC Europe Limited (no longer approved here)

    FRN 124543

    • CF30 Customer (1 Nov 2007 to 28 Jul 2010)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • Royal Bank of Canada (no longer approved here)

    FRN 124783

    • CF30 Customer (1 Nov 2007 to 28 Jul 2010)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.