Alok Modi

Last updated
3 weeks ago
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Where they hold approval

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

  • Deutsche Bank AG

    FRN 150018

    • [FCA CF] Material risk taker (since 1 Jan 2021)
    • [FCA CF] Manager of certification employee (since 31 Mar 2020)
    • [FCA CF] Client dealing (since 15 Jan 2020)
  • Morgan Stanley & Co. International Plc (no longer approved here)

    FRN 165935

    • CF30 Customer (2 Jan 2014 to 6 Mar 2016)
  • Barclays Capital Securities Limited (no longer approved here)

    FRN 124431

    • CF30 Customer (7 Jun 2012 to 18 Sep 2013)
  • Citigroup Global Markets Limited (no longer approved here)

    FRN 124384

    • CF30 Customer (1 Nov 2007 to 2 Mar 2012)
    • CF21 Investment Adviser (30 Dec 2004 to 31 Oct 2007)
  • Citibank, N.A. (no longer approved here)

    FRN 124704

    • CF30 Customer (1 Nov 2007 to 2 Mar 2012)
    • CF21 Investment Adviser (9 Mar 2005 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.