Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

    • [FCA CF] Algorithmic trading (since 21 May 2024)
    • [FCA CF] Client dealing (since 23 Dec 2022)
    • [PRA CF] Significant risk taker or Material risk taker (18 Sep 2023 to 27 Apr 2026)
    • [FCA CF] Material risk taker (18 Sep 2023 to 27 Apr 2026)
  • The Toronto-Dominion Bank (no longer approved here)

    FRN 124859

    • [PRA CF] Managing a material risk taker (28 Feb 2022 to 6 Dec 2022)
    • [FCA CF] Manager of certification employee (28 Feb 2022 to 6 Dec 2022)
    • [FCA CF] Material risk taker (11 Jun 2018 to 6 Dec 2022)
    • [FCA CF] Client dealing (11 Jun 2018 to 6 Dec 2022)
  • Bank of America, N.A. (no longer approved here)

    FRN 124642

    • CF30 Customer (9 Aug 2013 to 6 Mar 2016)

Recent activity

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

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