Where they hold approval

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

  • UBS AG

    FRN 186958

    • [FCA CF] Client dealing (since 11 Jan 2021)
    • [PRA CF] Significant risk taker or Material risk taker (since 11 Jan 2021)
    • [FCA CF] Material risk taker (since 11 Jan 2021)
    • [FCA CF] Manager of certification employee (since 11 Jan 2021)
    • [FCA CF] Material risk taker (since 21 Aug 2019)
    • [PRA CF] Significant risk taker or Material risk taker (21 Aug 2019 to 21 Aug 2020)
    • [FCA CF] Manager of certification employee (23 May 2018 to 23 Dec 2020)
    • [FCA CF] Client dealing (14 Nov 2017 to 23 Dec 2020)
    • CF30 Customer (1 Nov 2007 to 31 Oct 2011)
    • CF21 Investment Adviser (23 Apr 2007 to 31 Oct 2007)
  • JEFFERIES INTERNATIONAL LIMITED (no longer approved here)

    FRN 139253

    • CF30 Customer (20 Jun 2013 to 30 Jun 2017)

Recent activity

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

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