Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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J.P. Morgan SE
FRN 755066
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 3. Giving personal recommendations on derivatives
- 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 13. Giving personal recommendations on and dealing with derivatives
- 14. Managing investments
- [FCA CF] Material risk taker (since 26 Sep 2022)
- [FCA CF] Client dealing (since 22 Jan 2022)
- [FCA CF] Functions requiring qualifications (since 22 Jan 2022)
- [FCA CF] Manager of certification employee (since 22 Jan 2022)
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- CF30 Customer (1 Nov 2007 to 13 Apr 2010)
- CF21 Investment Adviser (12 Oct 2005 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.