Dominic Rieb Smith

Last updated
3 weeks ago
Watch for changes

Where they hold approval

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

  • J.P. Morgan Securities plc

    FRN 155240

    • [FCA CF] Material risk taker (since 17 May 2017)
    • [FCA CF] Manager of certification employee (since 7 Mar 2016)
    • [FCA CF] Client dealing (since 7 Mar 2016)
    • CF30 Customer (16 Sep 2010 to 6 Mar 2016)
  • JPMorgan Chase Bank, National Association

    FRN 124491

    • [FCA CF] Client dealing (since 7 Mar 2016)
    • [FCA CF] Manager of certification employee (since 7 Mar 2016)
    • [FCA CF] Material risk taker (since 7 Mar 2016)
    • CF30 Customer (16 Sep 2010 to 6 Mar 2016)
  • 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] Client dealing (7 Mar 2016 to 31 Jan 2023)
    • [FCA CF] Manager of certification employee (7 Mar 2016 to 31 Jan 2023)
    • CF30 Customer (12 Oct 2015 to 6 Mar 2016)
  • J.P. Morgan Markets Limited (no longer approved here)

    FRN 114031

    • CF30 Customer (4 Feb 2013 to 11 Dec 2014)
  • Nomura International Plc (no longer approved here)

    FRN 124422

    • CF30 Customer (20 Oct 2008 to 12 Aug 2010)

Recent activity

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

No changes recorded yet.