Alec Polakov

Last updated
1 week ago
Watch for changes

Where they hold approval

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

  • J.P. Morgan SE

    FRN 755066

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 3. Giving personal recommendations on derivatives
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 13. Giving personal recommendations on and dealing with derivatives
    • 14. Managing investments
    • [FCA CF] Material risk taker (since 29 Aug 2024)
    • [FCA CF] Functions requiring qualifications (since 15 Mar 2024)
    • [FCA CF] Client dealing (since 15 Mar 2024)
    • [FCA CF] Manager of certification employee (since 15 Mar 2024)
  • J.P. Morgan Securities plc (no longer approved here)

    FRN 155240

    • [FCA CF] Material risk taker (17 May 2017 to 1 Feb 2024)
    • [FCA CF] Manager of certification employee (7 Mar 2016 to 1 Feb 2024)
    • [FCA CF] Client dealing (7 Mar 2016 to 1 Feb 2024)
    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF21 Investment Adviser (17 Sep 2007 to 31 Oct 2007)
  • JPMorgan Chase Bank, National Association (no longer approved here)

    FRN 124491

    • [FCA CF] Client dealing (7 Mar 2016 to 1 Feb 2024)
    • [FCA CF] Manager of certification employee (7 Mar 2016 to 1 Feb 2024)
    • [FCA CF] Material risk taker (7 Mar 2016 to 1 Feb 2024)
    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF21 Investment Adviser (17 Sep 2007 to 31 Oct 2007)
  • Citibank, N.A. (no longer approved here)

    FRN 124704

    • CF21 Investment Adviser (30 Jun 2006 to 15 Jun 2007)
  • Citigroup Global Markets Limited (no longer approved here)

    FRN 124384

    • CF21 Investment Adviser (6 Apr 2005 to 15 Jun 2007)

Recent activity

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

No changes recorded yet.