Where they hold approval

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

  • MUFG Securities EMEA plc (no longer approved here)

    FRN 124512

    • [FCA CF] Material risk taker (15 Mar 2023 to 9 Apr 2026)
    • [FCA CF] Client dealing (15 Mar 2023 to 9 Apr 2026)
    • [FCA CF] Manager of certification employee (15 Mar 2023 to 15 Jan 2026)
    • [PRA CF] Significant risk taker or Material risk taker (15 Mar 2023 to 9 Apr 2026)
    • CF30 Customer (27 Aug 2013 to 6 Mar 2016)
  • Wells Fargo Securities International Limited (no longer approved here)

    FRN 186745

    • [FCA CF] Client dealing (9 Dec 2019 to 1 Dec 2022)
    • CF30 Customer (11 Dec 2017 to 8 Dec 2019)
  • Wells Fargo Bank, National Association (no longer approved here)

    FRN 456183

    • [FCA CF] Client dealing (17 Nov 2017 to 1 Dec 2022)
  • RBC Europe Limited (no longer approved here)

    FRN 124543

    • CF30 Customer (7 Jul 2010 to 10 Jul 2013)
  • Royal Bank of Canada (no longer approved here)

    FRN 124783

    • CF30 Customer (7 Jul 2010 to 10 Jul 2013)
  • Commerzbank AG (no longer approved here)

    FRN 124920

    • CF30 Customer (1 Nov 2007 to 30 Apr 2010)
    • CF26 Customer Trading (9 Feb 2006 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.