Where they hold approval

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

    • [FCA CF] Material risk taker (since 27 Jun 2025)
    • [FCA CF] Client dealing (since 27 Jun 2025)
  • Wells Fargo Bank, National Association (no longer approved here)

    FRN 456183

    • [FCA CF] Client dealing (8 Jun 2022 to 14 Jun 2024)
    • [FCA CF] Material risk taker (8 Jun 2022 to 14 Jun 2024)
    • [FCA CF] Manager of certification employee (8 Jun 2022 to 14 Jun 2024)
    • [FCA CF] Significant management (27 Oct 2021 to 14 Jun 2024)
  • Wells Fargo Securities International Limited (no longer approved here)

    FRN 186745

    • [FCA CF] Material risk taker (27 Oct 2021 to 14 Jun 2024)
    • [FCA CF] Client dealing (27 Oct 2021 to 14 Jun 2024)
    • [FCA CF] Manager of certification employee (27 Oct 2021 to 14 Jun 2024)
    • [FCA CF] Significant management (25 May 2021 to 14 Jun 2024)
  • Channel Capital Advisors LLP (no longer approved here)

    FRN 462037

    • [FCA CF] Client dealing (1 Dec 2020 to 23 May 2021)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • [PRA CF] Significant risk taker or Material risk taker (23 Apr 2020 to 30 Sep 2020)
    • [FCA CF] Client dealing (14 Oct 2019 to 30 Sep 2020)
  • Nomura Bank International Plc. (no longer approved here)

    FRN 204419

    • [FCA CF] Client dealing (10 Sep 2018 to 25 Sep 2019)
    • [FCA CF] Manager of certification employee (22 Dec 2017 to 25 Sep 2019)
  • Nomura International Plc (no longer approved here)

    FRN 124422

    • [FCA CF] Manager of certification employee (1 Nov 2016 to 25 Sep 2019)
    • [FCA CF] Client dealing (1 Nov 2016 to 25 Sep 2019)
    • [FCA CF] Material risk taker (1 Nov 2016 to 25 Sep 2019)
    • CF30 Customer (9 Dec 2008 to 6 Mar 2016)
  • RBC Europe Limited (no longer approved here)

    FRN 124543

    • CF21 Investment Adviser (2 Jul 2004 to 7 Sep 2004)
  • Royal Bank of Canada (no longer approved here)

    FRN 124783

    • CF21 Investment Adviser (2 Jul 2004 to 7 Sep 2004)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF21 Investment Adviser (30 Nov 2002 to 18 Mar 2004)

Recent activity

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

No changes recorded yet.