Where they hold approval

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

    • [FCA CF] Significant management (since 9 Dec 2019)
    • [FCA CF] Material risk taker (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • SMF3 Executive Director (9 Dec 2019 to 17 Nov 2025)
    • CF10 Compliance Oversight (4 Jul 2016 to 1 Aug 2016)
    • CF1 Director (4 Jul 2016 to 8 Dec 2019)
    • CF30 Customer (4 Jul 2016 to 8 Dec 2019)
  • Alternatives St James LLP (no longer approved here)

    FRN 430914

    • CF4 Partner (AR) (7 Jun 2011 to 19 Oct 2011)
    • CF30 Customer (7 Jun 2011 to 19 Oct 2011)
  • Bank of America, N.A. (no longer approved here)

    FRN 124642

    • CF30 Customer (1 Nov 2007 to 21 Jan 2010)
    • CF21 Investment Adviser (14 Feb 2005 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.