Where they hold approval

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

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 13. Giving personal recommendations on and dealing with derivatives
    • [FCA CF] Manager of certification employee (since 12 May 2020)
    • [FCA CF] Functions requiring qualifications (since 1 Jul 2018)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • [FCA CF] Manager of certification employee (12 May 2020 to 5 Aug 2021)
  • Julius Baer International Limited (no longer approved here)

    FRN 139179

    • CF30 Customer (20 Jun 2014 to 4 Dec 2014)
  • Lombard Odier (Europe) S.A. (no longer approved here)

    FRN 597896

    • CF30 Customer (1 Dec 2013 to 10 Jan 2014)
  • EFG Asset Management (UK) Limited (no longer approved here)

    FRN 536771

    • CF30 Customer (4 May 2011 to 5 May 2011)
  • EFG Private Bank Limited (no longer approved here)

    FRN 144036

    • CF30 Customer (1 Feb 2008 to 7 Jan 2011)

Recent activity

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

No changes recorded yet.