Where they hold approval

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

    • [FCA CF] Client dealing (since 1 Jul 2020)
    • [FCA CF] Material risk taker (since 1 Jul 2020)
    • [FCA CF] Significant management (since 1 Jul 2020)
    • CF29 Significant management (2 Sep 2015 to 8 Dec 2019)
    • CF30 Customer (22 Jul 2014 to 8 Dec 2019)
    • CF1 Director (22 Jul 2014 to 9 Jun 2015)
  • PGIM LIMITED

    FRN 193418

    • [FCA CF] Client dealing (since 1 Jul 2020)
    • CF29 Significant management (2 Sep 2015 to 8 Dec 2019)
    • CF1 Director (1 May 2013 to 9 Jun 2015)
    • CF30 Customer (23 Mar 2009 to 8 Dec 2019)
  • N. M. ROTHSCHILD & SONS LIMITED (no longer approved here)

    FRN 124451

    • CF1 Director (14 Oct 2004 to 13 Dec 2004)
    • CF21 Investment Adviser (1 Dec 2001 to 7 Sep 2007)

Recent activity

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

No changes recorded yet.