Anupam Gupta

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.

  • Deutsche Bank AG

    FRN 150018

    • [FCA CF] Material risk taker (since 1 Jan 2024)
    • [FCA CF] Manager of certification employee (since 16 Mar 2023)
    • [FCA CF] Client dealing (since 3 Mar 2023)
    • CF21 Investment Adviser (1 Dec 2001 to 7 Jun 2004)
  • Nomura Bank International Plc. (no longer approved here)

    FRN 204419

    • [FCA CF] Material risk taker (11 Nov 2019 to 1 Feb 2023)
    • [FCA CF] Manager of certification employee (29 Aug 2018 to 1 Feb 2023)
    • [FCA CF] Client dealing (10 Jul 2018 to 1 Feb 2023)
  • Nomura International Plc (no longer approved here)

    FRN 124422

    • [FCA CF] Material risk taker (8 Mar 2019 to 1 Feb 2023)
    • [FCA CF] Manager of certification employee (29 Aug 2018 to 1 Feb 2023)
    • [FCA CF] Client dealing (10 Jul 2018 to 1 Feb 2023)
  • Bank of America, N.A. (no longer approved here)

    FRN 124642

    • CF30 Customer (18 Apr 2011 to 6 Mar 2016)
  • JPMorgan Chase Bank, National Association (no longer approved here)

    FRN 124491

    • CF30 Customer (1 Nov 2007 to 4 Apr 2011)
    • CF21 Investment Adviser (16 Sep 2004 to 31 Oct 2007)
  • J.P. Morgan Securities plc (no longer approved here)

    FRN 155240

    • CF30 Customer (1 Nov 2007 to 4 Apr 2011)
    • CF21 Investment Adviser (16 Sep 2004 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.