Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
LGT Wealth Management US Limited
FRN 585547
- 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 14. Managing investments
- [FCA CF] Functions requiring qualifications (since 5 Apr 2023)
- [FCA CF] Client dealing (since 5 Apr 2023)
-
- [FCA CF] Functions requiring qualifications (8 Jul 2021 to 8 Dec 2022)
- [FCA CF] Client dealing (8 Jul 2021 to 8 Dec 2022)
-
- CF1 Director (AR) (8 Nov 2019 to 14 Sep 2020)
- CF30 Customer (8 Nov 2019 to 14 Sep 2020)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.