Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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The Bank of New York Mellon
FRN 122467
- [FCA CF] Manager of certification employee (since 28 Mar 2025)
- [PRA CF] Significant risk taker or Material risk taker (since 13 Aug 2024)
- [FCA CF] Client dealing (since 27 Mar 2024)
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PERSHING SECURITIES LIMITED
FRN 146576
- [FCA CF] Client dealing (since 9 Apr 2024)
- [FCA CF] Material risk taker (since 9 Apr 2024)
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- [FCA CF] Algorithmic trading (19 Jul 2021 to 4 Jul 2023)
- [FCA CF] Material risk taker (15 Sep 2020 to 4 Jul 2023)
- [FCA CF] Manager of certification employee (15 Sep 2020 to 4 Jul 2023)
- [FCA CF] Client dealing (15 Sep 2020 to 4 Jul 2023)
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- [FCA CF] Algorithmic trading (19 Jul 2021 to 4 Jul 2023)
- [FCA CF] Client dealing (15 Sep 2020 to 4 Jul 2023)
- [FCA CF] Manager of certification employee (15 Sep 2020 to 4 Jul 2023)
- [FCA CF] Material risk taker (15 Sep 2020 to 4 Jul 2023)
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- CF30 Customer (1 Apr 2014 to 13 Sep 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.