Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Northern Trust Securities LLP
FRN 465131
- [FCA CF] Manager of certification employee (since 1 Mar 2025)
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Northern Trust Global Services SE
FRN 829966
- [FCA CF] Manager of certification employee (since 1 Mar 2025)
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Northern Trust Investor Services Limited
FRN 927658
- [FCA CF] Manager of certification employee (since 1 Mar 2025)
- [FCA CF] Material risk taker (19 Jun 2024 to 16 Mar 2026)
- [FCA CF] Significant management (19 Jun 2024 to 16 Mar 2026)
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The Northern Trust Company
FRN 122020
- SMF19 Head of Overseas Branch/Head of Overseas (since 1 Aug 2024)
- [FCA CF] Material risk taker (9 May 2024 to 1 Aug 2024)
- SMF22 Other Local Responsibility (27 Nov 2019 to 9 May 2024)
- SMF24 Chief Operations (14 Mar 2018 to 27 Nov 2019)
- CF29 Significant management (30 Oct 2015 to 6 Mar 2016)
- CF21 Investment Adviser (1 Dec 2001 to 30 Jul 2003)
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- CF21 Investment Adviser (6 Feb 2002 to 30 Jul 2003)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.