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.

    • SMF27 Partner (since 9 Dec 2019)
    • [FCA CF] Material risk taker (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (19 May 2005 to 31 Oct 2007)
    • CF27 Investment Management (18 Jul 2003 to 31 Oct 2007)
    • CF26 Customer Trading (26 Oct 2002 to 17 May 2005)
    • CF8 Apportionment and Oversight (18 Oct 2002 to 31 Aug 2007)
    • CF4 Partner (18 Oct 2002 to 8 Dec 2019)
    • CF3 Chief Executive (18 Oct 2002 to 31 Aug 2007)
  • Morgan Stanley & Co. International Plc (no longer approved here)

    FRN 165935

    • CF21 Investment Adviser (1 Dec 2001 to 1 Mar 2002)

Recent activity

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

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