Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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AllianceBernstein Limited
FRN 147956
- [FCA CF] Manager of certification employee (since 15 May 2024)
- [FCA CF] Material risk taker (since 1 Jul 2022)
- [FCA CF] Client dealing (since 9 Dec 2019)
- SMF7 Group Entity Senior Manager (18 Feb 2020 to 15 May 2024)
- CF3 Chief Executive (31 Oct 2015 to 17 Feb 2016)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF1 Director (1 Aug 2007 to 10 Nov 2017)
- CF16 Significant Mgt (Desgntd Investment Business) (17 Oct 2006 to 1 Aug 2007)
- CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.