Baptiste Carlier

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.

  • SMBC Nikko Capital Markets Limited (no longer approved here)

    FRN 171935

    • [FCA CF] Client dealing (17 Sep 2021 to 31 Aug 2024)
    • [FCA CF] Manager of certification employee (17 Sep 2021 to 31 Aug 2024)
    • [FCA CF] Material risk taker (17 Sep 2021 to 21 Feb 2023)
  • Barclays Capital Securities Limited (no longer approved here)

    FRN 124431

    • [FCA CF] Client dealing (9 Jan 2019 to 30 Jan 2020)

Recent activity

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

No changes recorded yet.