Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Bank of America, N.A.
FRN 124642
- SMF19 Head of Overseas Branch/Head of Overseas (since 23 Jan 2026)
- [FCA CF] Material risk taker (24 Feb 2017 to 11 Feb 2022)
- [FCA CF] Client dealing (24 Feb 2017 to 11 Feb 2022)
- [FCA CF] Significant management (7 Mar 2016 to 11 Feb 2022)
- [FCA CF] Manager of certification employee (7 Mar 2016 to 11 Feb 2022)
- CF29 Significant management (30 Mar 2009 to 17 Feb 2011)
- CF30 Customer (1 Nov 2007 to 13 Dec 2007)
- CF21 Investment Adviser (30 Dec 2004 to 31 Oct 2007)
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Merrill Lynch International
FRN 147150
- SMF3 Executive Director (since 23 Jan 2026)
- SMF1 Chief Executive (since 23 Jan 2026)
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- [FCA CF] Material risk taker (1 Nov 2023 to 3 Sep 2024)
- [FCA CF] Significant management (1 Nov 2023 to 23 Jan 2026)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.