David Gareth Herbert

Last updated
3 weeks ago
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Where they hold approval

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

  • PIMCO Europe Ltd

    FRN 149303

    • [FCA CF] Client dealing (since 3 Mar 2025)
  • The Toronto-Dominion Bank (no longer approved here)

    FRN 124859

    • [FCA CF] Client dealing (17 Jun 2019 to 11 Oct 2024)
    • [FCA CF] Manager of certification employee (17 Jun 2019 to 11 Oct 2024)
    • [FCA CF] Material risk taker (17 Jun 2019 to 11 Oct 2024)
    • [PRA CF] Managing a material risk taker (17 Jun 2019 to 19 Jul 2023)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (14 Jul 2008 to 6 Mar 2016)
  • Barclays Capital Securities Limited (no longer approved here)

    FRN 124431

    • CF30 Customer (1 Nov 2007 to 7 Mar 2008)
    • CF21 Investment Adviser (21 Jun 2006 to 31 Oct 2007)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF21 Investment Adviser (1 Dec 2001 to 20 Mar 2006)

Recent activity

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

No changes recorded yet.