Last updated
2 weeks ago
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Where they hold approval

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

  • Wells Fargo Bank, National Association (no longer approved here)

    FRN 456183

    • [FCA CF] Significant management (8 Jun 2022 to 30 Jun 2023)
    • [FCA CF] Client dealing (9 Aug 2017 to 30 Jun 2023)
    • [FCA CF] Manager of certification employee (9 Aug 2017 to 30 Jun 2023)
  • Wells Fargo Securities International Limited (no longer approved here)

    FRN 186745

    • [FCA CF] Significant management (1 Mar 2021 to 30 Jun 2023)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 30 Jun 2023)
    • [FCA CF] Material risk taker (9 Dec 2019 to 30 Jun 2023)
    • [FCA CF] Client dealing (9 Dec 2019 to 30 Jun 2023)
    • CF30 Customer (23 Dec 2010 to 8 Dec 2019)
  • CREDIT SUISSE INTERNATIONAL (no longer approved here)

    FRN 146702

    • CF21 Investment Adviser (29 Mar 2006 to 14 Apr 2007)

Recent activity

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

No changes recorded yet.