Frances Smith

Last updated
3 weeks ago
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Where they hold approval

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

  • JPMorgan Chase Bank, National Association (no longer approved here)

    FRN 124491

    • [FCA CF] Material risk taker (25 Feb 2021 to 1 Feb 2024)
    • [FCA CF] Manager of certification employee (20 Jun 2019 to 25 Feb 2021)
    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF21 Investment Adviser (5 May 2004 to 31 Oct 2007)
    • CF23 Corporate Finance Adviser (18 Nov 2003 to 5 May 2004)
  • J.P. Morgan Securities plc (no longer approved here)

    FRN 155240

    • [FCA CF] Material risk taker (25 Feb 2021 to 1 Feb 2024)
    • [FCA CF] Manager of certification employee (20 Jun 2019 to 25 Feb 2021)
    • CF23 Corporate Finance Adviser (18 Nov 2003 to 5 May 2004)
  • J.P. Morgan Europe Limited (no longer approved here)

    FRN 124579

    • CF23 Corporate Finance Adviser (18 Nov 2003 to 5 May 2004)
  • Mizuho Bank, Ltd. (no longer approved here)

    FRN 139195

    • CF23 Corporate Finance Adviser (31 Mar 2002 to 31 Oct 2003)

Recent activity

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

No changes recorded yet.