Andrew Baum

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.

  • Citigroup Global Markets Limited (no longer approved here)

    FRN 124384

    • [FCA CF] Manager of certification employee (1 Oct 2019 to 16 May 2024)
    • [FCA CF] Client dealing (7 Mar 2016 to 16 May 2024)
    • [FCA CF] Material risk taker (7 Mar 2016 to 16 May 2024)
    • [PRA CF] Significant risk taker or Material risk taker (7 Mar 2016 to 16 May 2024)
    • CF30 Customer (9 Sep 2011 to 6 Mar 2016)
  • Morgan Stanley & Co. International Plc (no longer approved here)

    FRN 165935

    • CF30 Customer (1 Nov 2007 to 1 Jun 2011)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.