Ben Warren Gulliver

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.

  • Pemberton Capital Advisors LLP

    FRN 561640

    • [FCA CF] Material risk taker (since 28 Feb 2022)
    • [FCA CF] Manager of certification employee (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • CF30 Customer (26 Sep 2016 to 8 Dec 2019)
    • CF4 Partner (26 Sep 2016 to 8 Dec 2019)
  • Australia and New Zealand Banking Group Ltd (no longer approved here)

    FRN 114151

    • CF29 Significant management (17 Jul 2013 to 19 Nov 2013)
    • CF30 Customer (5 Apr 2013 to 6 Mar 2016)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF30 Customer (1 Nov 2007 to 11 Apr 2008)
    • CF27 Investment Management (10 Aug 2004 to 31 Oct 2007)
    • CF21 Investment Adviser (9 Jul 2004 to 31 Oct 2007)
  • Morgan Stanley & Co. International Plc (no longer approved here)

    FRN 165935

    • CF21 Investment Adviser (16 Apr 2002 to 19 Feb 2004)
  • CREDIT SUISSE INTERNATIONAL (no longer approved here)

    FRN 146702

    • CF26 Customer Trading (1 Dec 2001 to 11 Mar 2002)

Recent activity

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

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