Dick Soderberg

Last updated
1 week ago
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Where they hold approval

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

  • Morgan Stanley & Co. International Plc

    FRN 165935

    • [FCA CF] Manager of certification employee (since 4 Oct 2021)
    • [FCA CF] Material risk taker (since 4 Oct 2021)
    • [FCA CF] Client dealing (since 4 Oct 2021)
  • Morgan Stanley Bank International Limited

    FRN 195430

    • [FCA CF] Material risk taker (since 4 Oct 2021)
    • [FCA CF] Manager of certification employee (since 4 Oct 2021)
    • [FCA CF] Client dealing (since 4 Oct 2021)
  • J.P. Morgan SE (no longer approved here)

    FRN 755066

    • [FCA CF] Material risk taker (21 Oct 2020 to 30 Sep 2021)
    • [FCA CF] Client dealing (21 Oct 2020 to 30 Sep 2021)
  • J.P. Morgan Securities plc (no longer approved here)

    FRN 155240

    • [FCA CF] Material risk taker (17 May 2017 to 30 Sep 2021)
    • [FCA CF] Client dealing (7 Mar 2016 to 30 Sep 2021)
    • [FCA CF] Manager of certification employee (7 Mar 2016 to 11 Oct 2019)
    • CF30 Customer (20 Sep 2013 to 6 Mar 2016)
  • JPMorgan Chase Bank, National Association (no longer approved here)

    FRN 124491

    • [FCA CF] Manager of certification employee (7 Mar 2016 to 11 Oct 2019)
    • [FCA CF] Client dealing (7 Mar 2016 to 30 Sep 2021)
    • [FCA CF] Material risk taker (7 Mar 2016 to 30 Sep 2021)
    • CF30 Customer (20 Sep 2013 to 6 Mar 2016)
  • Barclays Capital Securities Limited (no longer approved here)

    FRN 124431

    • CF30 Customer (1 Nov 2007 to 17 Jun 2013)
    • CF21 Investment Adviser (22 Aug 2005 to 31 Oct 2007)

Recent activity

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

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