Charles Louis Berman

Last updated
6 days ago
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Where they hold approval

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

  • agora Digital Markets Ltd

    FRN 938947

    • SMF3 Executive Director (since 16 Nov 2021)
    • SMF1 Chief Executive (since 16 Nov 2021)
  • KHEPRI ADVISERS LIMITED (no longer approved here)

    FRN 692447

    • CF1 Director (AR) (9 Apr 2021 to 15 Nov 2021)
    • CF30 Customer (9 Apr 2021 to 15 Nov 2021)
    • CF3 Chief Executive (AR) (9 Apr 2021 to 15 Nov 2021)
  • Barclays Capital Securities Limited (no longer approved here)

    FRN 124431

    • CF30 Customer (6 Sep 2011 to 6 Mar 2016)
  • Park Walk Europe LLP (no longer approved here)

    FRN 502209

    • CF10 Compliance Oversight (11 Jan 2011 to 31 Aug 2011)
    • CF11 Money Laundering Reporting (11 Jan 2011 to 31 Aug 2011)
    • CF3 Chief Executive (2 Oct 2009 to 31 Aug 2011)
    • CF4 Partner (2 Oct 2009 to 31 Aug 2011)
    • CF30 Customer (2 Oct 2009 to 31 Aug 2011)
  • Citigroup Global Markets Limited (no longer approved here)

    FRN 124384

    • CF30 Customer (1 Nov 2007 to 1 Jan 2009)
    • CF29 Significant management (1 Nov 2007 to 1 Jan 2009)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 31 Oct 2007)
  • Citibank, N.A. (no longer approved here)

    FRN 124704

    • CF29 Significant management (1 Nov 2007 to 1 Jan 2009)
    • CF30 Customer (1 Nov 2007 to 1 Jan 2009)
    • CF16 Significant Mgt (Desgntd Investment Business) (20 Jan 2006 to 31 Oct 2007)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

Recent activity

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

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