David James King

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.

  • Bank of Montreal

    FRN 124788

    • [FCA CF] Client dealing (since 5 May 2023)
    • [FCA CF] Material risk taker (since 5 May 2023)
    • [FCA CF] Significant management (1 Jul 2024 to 1 Mar 2026)
  • The Toronto-Dominion Bank (no longer approved here)

    FRN 124859

    • [FCA CF] Material risk taker (16 Dec 2019 to 30 Apr 2021)
    • [FCA CF] Manager of certification employee (7 Mar 2016 to 30 Apr 2021)
    • CF30 Customer (14 May 2015 to 6 Mar 2016)
  • J.P. Morgan Securities plc (no longer approved here)

    FRN 155240

    • CF30 Customer (13 May 2014 to 17 Sep 2014)
    • CF21 Investment Adviser (8 Aug 2005 to 31 Oct 2007)
  • JPMorgan Chase Bank, National Association (no longer approved here)

    FRN 124491

    • CF30 Customer (1 Nov 2007 to 18 May 2009)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • J.P. Morgan Europe Limited (no longer approved here)

    FRN 124579

    • CF21 Investment Adviser (1 Dec 2001 to 8 Aug 2005)

Recent activity

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

No changes recorded yet.