Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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UBS AG
FRN 186958
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 3. Giving personal recommendations on derivatives
- 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 13. Giving personal recommendations on and dealing with derivatives
- [FCA CF] Manager of certification employee (since 24 Jul 2025)
- [PRA CF] Significant risk taker or Material risk taker (since 4 Apr 2025)
- [FCA CF] Functions requiring qualifications (since 4 Apr 2025)
- [FCA CF] Material risk taker (since 4 Apr 2025)
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- CF30 Customer (1 Nov 2007 to 22 Jan 2010)
- CF21 Investment Adviser (19 Feb 2007 to 31 Oct 2007)
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- CF21 Investment Adviser (28 Apr 2005 to 12 Feb 2007)
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- CF22 Investment Adviser (Trainee) (22 Feb 2005 to 4 Apr 2005)
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- CF21 Investment Adviser (18 Nov 2004 to 25 Feb 2005)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.