Gary Ballard

Last updated
2 weeks ago
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Where they hold approval

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

  • KNG Securities LLP (no longer approved here)

    FRN 402459

    • [FCA CF] Client dealing (20 Feb 2024 to 14 Jun 2024)
  • VTB Capital plc (no longer approved here)

    FRN 144003

    • SMF18 Other Overall Responsibility (24 May 2019 to 28 Mar 2022)
    • [FCA CF] Manager of certification employee (3 Nov 2016 to 24 May 2019)
    • [FCA CF] Client dealing (3 Nov 2016 to 24 May 2019)
  • Goldman Sachs International Bank (no longer approved here)

    FRN 124659

    • CF30 Customer (11 Apr 2013 to 6 Mar 2016)
  • Goldman Sachs Bank USA (no longer approved here)

    FRN 582328

    • CF30 Customer (21 Mar 2013 to 6 Mar 2016)
  • Morgan Stanley & Co. International Plc (no longer approved here)

    FRN 165935

    • CF21 Investment Adviser (1 Dec 2001 to 14 Jun 2005)

Recent activity

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

No changes recorded yet.