David Ruiz

Last updated
2 weeks ago
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Where they hold approval

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

  • Societe Generale (no longer approved here)

    FRN 124866

    • [FCA CF] Client dealing (14 Oct 2022 to 31 Aug 2025)
  • DWS Alternatives Global Limited (no longer approved here)

    FRN 458997

    • [FCA CF] Client dealing (9 Dec 2019 to 31 Dec 2021)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 31 Dec 2021)
    • CF30 Customer (4 Jul 2019 to 8 Dec 2019)
  • Deutsche Bank AG (no longer approved here)

    FRN 150018

    • [FCA CF] Client dealing (7 Mar 2016 to 6 Jun 2018)
    • [FCA CF] Manager of certification employee (7 Mar 2016 to 6 Jun 2018)
    • CF30 Customer (21 Nov 2014 to 6 Mar 2016)
  • Serone Capital Management LLP (no longer approved here)

    FRN 502305

    • CF4 Partner (4 Jul 2011 to 30 Sep 2014)
    • CF30 Customer (4 Jul 2011 to 30 Sep 2014)
  • Capital Advisory Partners Ltd (no longer approved here)

    FRN 450657

    • CF30 Customer (4 Oct 2010 to 5 Oct 2011)
  • JPMorgan Chase Bank, National Association (no longer approved here)

    FRN 124491

    • CF30 Customer (1 Nov 2007 to 2 Feb 2008)
    • CF21 Investment Adviser (13 Dec 2004 to 31 Oct 2007)
  • J.P. Morgan Securities plc (no longer approved here)

    FRN 155240

    • CF30 Customer (1 Nov 2007 to 2 Feb 2008)
    • CF21 Investment Adviser (13 Dec 2004 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.