Last updated
3 weeks ago
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Where they hold approval

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

    • SMF1 Chief Executive (since 30 Sep 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • CF1 Director (23 Jan 2018 to 8 Dec 2019)
  • PERSHING SECURITIES LIMITED (no longer approved here)

    FRN 146576

    • CF10 Compliance Oversight (2 Jun 2005 to 10 Oct 2005)
    • CF8 Apportionment and Oversight (27 Oct 2003 to 31 Oct 2007)
    • CF3 Chief Executive (13 Oct 2003 to 4 Nov 2011)
    • CF16 Significant Mgt (Desgntd Investment Business) (13 Oct 2003 to 10 Oct 2005)
    • CF1 Director (22 Jul 2003 to 30 Jan 2012)

Recent activity

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

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