Charles-Henry Luc Colom-Sampol

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.

  • UBS AG

    FRN 186958

    • [FCA CF] Material risk taker (since 25 Jul 2023)
    • [PRA CF] Significant risk taker or Material risk taker (since 25 Jul 2023)
    • [FCA CF] Client dealing (since 12 Dec 2017)
    • [FCA CF] Manager of certification employee (since 12 Dec 2017)
  • Nomura International Plc (no longer approved here)

    FRN 124422

    • CF30 Customer (14 Nov 2011 to 27 Oct 2015)
  • Morgan Stanley & Co. International Plc (no longer approved here)

    FRN 165935

    • CF30 Customer (1 Nov 2007 to 17 Feb 2009)
    • CF21 Investment Adviser (23 Mar 2005 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (12 Oct 2004 to 23 Mar 2005)

Recent activity

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

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