Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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UBS AG
FRN 186958
- [FCA CF] Manager of certification employee (since 26 Aug 2025)
- [PRA CF] Significant risk taker or Material risk taker (since 26 Feb 2024)
- [FCA CF] Material risk taker (since 26 Feb 2024)
- [FCA CF] Client dealing (since 14 Nov 2023)
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- [PRA CF] Significant risk taker or Material risk taker (16 Jul 2020 to 12 Nov 2023)
- [FCA CF] Material risk taker (16 Jul 2020 to 12 Nov 2023)
- [FCA CF] Client dealing (7 Mar 2016 to 12 Nov 2023)
- CF30 Customer (5 Jun 2009 to 6 Mar 2016)
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- CF21 Investment Adviser (28 Jul 2003 to 3 Mar 2004)
- CF22 Investment Adviser (Trainee) (24 Jun 2003 to 28 Jul 2003)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.