Angus James Small

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.

  • UBS AG

    FRN 186958

    • [FCA CF] Material risk taker (since 10 Jul 2023)
    • [PRA CF] Significant risk taker or Material risk taker (since 10 Jul 2023)
    • [FCA CF] Client dealing (since 4 Aug 2022)
  • Wells Fargo Securities International Limited (no longer approved here)

    FRN 186745

    • [FCA CF] Client dealing (9 Dec 2019 to 17 May 2022)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 17 May 2022)
    • [FCA CF] Material risk taker (9 Dec 2019 to 17 May 2022)
    • [FCA CF] Significant management (9 Dec 2019 to 17 May 2022)
    • CF29 Significant management (19 Apr 2018 to 8 Dec 2019)
    • CF30 Customer (18 Nov 2013 to 8 Dec 2019)
  • Macquarie Capital (Europe) Limited (no longer approved here)

    FRN 193905

    • CF30 Customer (3 Nov 2009 to 31 Aug 2012)
  • Citigroup Global Markets Limited (no longer approved here)

    FRN 124384

    • CF30 Customer (1 Nov 2007 to 30 Sep 2009)
    • CF23 Corporate Finance Adviser (1 Dec 2001 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.