Bradley Joseph Bauman

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.

  • Alpha Real Capital LLP

    FRN 436048

    • SMF27 Partner (since 9 Dec 2019)
    • [FCA CF] Significant management (since 9 Dec 2019)
    • [FCA CF] Material risk taker (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF4 Partner (3 Mar 2006 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (3 Mar 2006 to 11 Feb 2008)
    • CF10 Compliance Oversight (3 Mar 2006 to 11 Feb 2008)
    • CF21 Investment Adviser (7 Oct 2005 to 31 Oct 2007)
  • Pacific Capital Partners Limited (no longer approved here)

    FRN 171200

    • CF21 Investment Adviser (5 Sep 2005 to 11 Oct 2005)
  • CBRE Investment Management Indirect Limited (no longer approved here)

    FRN 159366

    • CF21 Investment Adviser (11 Feb 2002 to 4 Dec 2002)

Recent activity

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

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