Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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AllianceBernstein Limited
FRN 147956
- [FCA CF] Material risk taker (since 13 Jul 2022)
- SMF18 Other Overall Responsibility (since 1 Jul 2022)
- [FCA CF] Client dealing (since 11 Feb 2021)
- [FCA CF] Manager of certification employee (13 May 2022 to 15 May 2024)
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- CF30 Customer (1 Nov 2007 to 18 Jun 2012)
- CF21 Investment Adviser (20 Jul 2006 to 31 Oct 2007)
- CF22 Investment Adviser (Trainee) (6 Oct 2005 to 19 Jul 2006)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.