Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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JPMorgan Chase Bank, National Association
FRN 124491
- SMF22 Other Local Responsibility (since 20 Oct 2025)
- [FCA CF] Significant management (18 Sep 2017 to 20 Oct 2025)
- [FCA CF] Manager of certification employee (7 Mar 2016 to 20 Oct 2025)
- [FCA CF] Material risk taker (7 Mar 2016 to 20 Oct 2025)
- [FCA CF] Client dealing (7 Mar 2016 to 20 Oct 2025)
- CF30 Customer (1 Nov 2007 to 6 Mar 2016)
- CF21 Investment Adviser (2 Nov 2006 to 31 Oct 2007)
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J.P. Morgan Securities plc
FRN 155240
- SMF18 Other Overall Responsibility (since 20 Oct 2025)
- [FCA CF] Significant management (18 Sep 2017 to 20 Oct 2025)
- [FCA CF] Material risk taker (17 May 2017 to 20 Oct 2025)
- [FCA CF] Client dealing (7 Mar 2016 to 20 Oct 2025)
- [FCA CF] Manager of certification employee (7 Mar 2016 to 20 Oct 2025)
- CF30 Customer (1 Nov 2007 to 6 Mar 2016)
- CF21 Investment Adviser (2 Nov 2006 to 31 Oct 2007)
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- [FCA CF] Manager of certification employee (9 Dec 2019 to 22 Jan 2022)
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- CF21 Investment Adviser (1 Dec 2001 to 15 Jun 2006)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.