Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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JPMorgan Chase Bank, National Association
FRN 124491
- [FCA CF] Material risk taker (since 5 Nov 2025)
- SMF22 Other Local Responsibility (14 Jun 2024 to 3 Oct 2025)
- [FCA CF] Significant management (9 Feb 2021 to 8 Jul 2024)
- [FCA CF] Manager of certification employee (17 Oct 2019 to 8 Jul 2024)
- [FCA CF] Material risk taker (17 Oct 2019 to 8 Jul 2024)
- [FCA CF] Client dealing (17 Oct 2019 to 8 Jul 2024)
- CF30 Customer (1 Nov 2007 to 6 Mar 2016)
- CF21 Investment Adviser (11 Jan 2007 to 31 Oct 2007)
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J.P. Morgan Securities plc
FRN 155240
- [FCA CF] Material risk taker (since 5 Nov 2025)
- SMF18 Other Overall Responsibility (14 Jun 2024 to 3 Oct 2025)
- [FCA CF] Significant management (9 Feb 2021 to 8 Jul 2024)
- [FCA CF] Client dealing (17 Oct 2019 to 8 Jul 2024)
- [FCA CF] Manager of certification employee (17 Oct 2019 to 8 Jul 2024)
- [FCA CF] Material risk taker (17 Oct 2019 to 8 Jul 2024)
- CF30 Customer (1 Nov 2007 to 6 Mar 2016)
- CF21 Investment Adviser (11 Jan 2007 to 31 Oct 2007)
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- Director of firm who is not a certification employee or a SMF manager (18 Aug 2022 to 10 Dec 2024)
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- [FCA CF] Manager of certification employee (28 Sep 2020 to 22 Jan 2022)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.