Where they hold approval

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

    • 13. Giving personal recommendations on and dealing with derivatives
    • 3. Giving personal recommendations on derivatives
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Functions requiring qualifications (since 7 Dec 2021)
  • Union Bancaire Privee, UBP SA (no longer approved here)

    FRN 147562

    • [FCA CF] Functions requiring qualifications (10 Aug 2020 to 4 Aug 2022)
    • [FCA CF] Client dealing (10 Aug 2020 to 4 Aug 2022)
  • JEFFERIES INTERNATIONAL LIMITED (no longer approved here)

    FRN 139253

    • CF30 Customer (16 Oct 2009 to 8 Dec 2019)
  • Credit Suisse (UK) Limited (no longer approved here)

    FRN 124269

    • CF30 Customer (1 Nov 2007 to 18 Sep 2009)
    • CF21 Investment Adviser (30 Mar 2006 to 31 Oct 2007)
    • CF27 Investment Management (30 Mar 2006 to 31 Oct 2007)
  • CREDIT SUISSE INTERNATIONAL (no longer approved here)

    FRN 146702

    • CF30 Customer (1 Nov 2007 to 11 Dec 2008)
    • CF27 Investment Management (11 Oct 2002 to 31 Oct 2007)
    • CF21 Investment Adviser (12 Jun 2002 to 31 Oct 2007)

Recent activity

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

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