Where they hold approval

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

    • [FCA CF] Manager of certification employee (since 1 Jul 2024)
    • [FCA CF] Client dealing (since 1 Jul 2024)
    • [FCA CF] Material risk taker (since 17 May 2017)
    • [FCA CF] Manager of certification employee (since 19 Sep 2016)
    • [FCA CF] Client dealing (since 7 Mar 2016)
    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF21 Investment Adviser (30 Aug 2007 to 31 Oct 2007)
    • [FCA CF] Manager of certification employee (since 19 Sep 2016)
    • [FCA CF] Material risk taker (since 7 Mar 2016)
    • [FCA CF] Client dealing (since 7 Mar 2016)
    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF21 Investment Adviser (30 Aug 2007 to 31 Oct 2007)
  • J.P. Morgan SE (no longer approved here)

    FRN 755066

    • [FCA CF] Material risk taker (9 Dec 2019 to 22 Jan 2022)
    • [FCA CF] Client dealing (9 Dec 2019 to 22 Jan 2022)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 22 Jan 2022)
    • CF30 Customer (22 Feb 2019 to 8 Dec 2019)
  • J.P. Morgan Europe Limited (no longer approved here)

    FRN 124579

    • [FCA CF] Material risk taker (17 May 2017 to 31 Jan 2023)
    • [FCA CF] Manager of certification employee (19 Sep 2016 to 31 Jan 2023)
    • [FCA CF] Client dealing (7 Mar 2016 to 31 Jan 2023)
    • CF30 Customer (6 May 2009 to 6 Mar 2016)
  • N. M. ROTHSCHILD & SONS LIMITED (no longer approved here)

    FRN 124451

    • CF21 Investment Adviser (16 Oct 2004 to 10 Aug 2007)

Recent activity

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

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