Where they hold approval

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

    • [FCA CF] Material risk taker (since 9 Apr 2025)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF4 Partner (AR) (since 25 Jan 2016)
    • CF10 Compliance Oversight (24 Sep 2012 to 8 Dec 2019)
    • CF4 Partner (13 Jun 2012 to 8 Dec 2019)
    • CF30 Customer (27 Feb 2012 to 8 Dec 2019)
  • NEEX PRIME UK LLP (no longer approved here)

    FRN 739550

    • SMF27 Partner (9 Dec 2019 to 21 Oct 2020)
    • CF30 Customer (14 Sep 2016 to 8 Dec 2019)
    • CF4 Partner (14 Sep 2016 to 8 Dec 2019)
  • Bank of America, N.A. (no longer approved here)

    FRN 124642

    • CF30 Customer (16 Jan 2009 to 4 Oct 2010)
  • Morgan Stanley & Co. International Plc (no longer approved here)

    FRN 165935

    • CF21 Investment Adviser (1 Dec 2001 to 25 Feb 2005)

Recent activity

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

No changes recorded yet.