Frank Haering

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] Significant management (7 Mar 2016 to 27 Oct 2019)
    • [FCA CF] Client dealing (7 Mar 2016 to 27 Oct 2019)
    • [FCA CF] Manager of certification employee (7 Mar 2016 to 27 Oct 2019)
    • [FCA CF] Material risk taker (7 Mar 2016 to 27 Oct 2019)
    • CF29 Significant management (17 Jul 2013 to 6 Mar 2016)
    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • J.P. Morgan Securities plc (no longer approved here)

    FRN 155240

    • [FCA CF] Client dealing (7 Mar 2016 to 27 Oct 2019)
    • [FCA CF] Significant management (7 Mar 2016 to 27 Oct 2019)
    • [FCA CF] Manager of certification employee (7 Mar 2016 to 27 Oct 2019)
    • [FCA CF] Material risk taker (7 Mar 2016 to 27 Oct 2019)
    • CF29 Significant management (17 Jul 2013 to 6 Mar 2016)
    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • J.P. Morgan Markets Limited (no longer approved here)

    FRN 114031

    • CF30 Customer (2 Jun 2008 to 30 Dec 2009)
  • J.P. Morgan Europe Limited (no longer approved here)

    FRN 124579

    • CF21 Investment Adviser (1 Dec 2001 to 8 Aug 2005)

Recent activity

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

No changes recorded yet.