Gurpinder Rikky Gurdeepak Shoker

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.

  • UBS AG

    FRN 186958

    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 13. Giving personal recommendations on and dealing with derivatives
    • 3. Giving personal recommendations on derivatives
    • [FCA CF] Functions requiring qualifications (since 3 Jan 2017)
  • Credo Capital Limited (no longer approved here)

    FRN 192204

    • CF30 Customer (21 Jan 2011 to 30 Apr 2014)
  • Rathbones Investment Management Limited (no longer approved here)

    FRN 116316

    • CF30 Customer (11 Apr 2008 to 26 Jul 2008)

Recent activity

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

No changes recorded yet.