Guy Nicholas Alexander Trust

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.

  • Daiwa Capital Markets Europe Limited

    FRN 124490

    • SMF18 Other Overall Responsibility (since 15 Mar 2024)
    • [FCA CF] Client dealing (since 2 Jan 2024)
    • [FCA CF] Manager of certification employee (2 Jan 2024 to 15 Mar 2024)
    • [FCA CF] Material risk taker (2 Jan 2024 to 15 Mar 2024)
    • [FCA CF] Significant management (2 Jan 2024 to 15 Mar 2024)
  • JEFFERIES INTERNATIONAL LIMITED (no longer approved here)

    FRN 139253

    • [FCA CF] Client dealing (1 Feb 2021 to 1 Jan 2023)
    • [FCA CF] Manager of certification employee (1 Feb 2021 to 1 Jan 2023)
    • [FCA CF] Material risk taker (1 Feb 2021 to 1 Jan 2023)
    • [FCA CF] Significant management (1 Feb 2021 to 1 Jan 2023)
    • CF30 Customer (29 Oct 2014 to 8 Dec 2019)
  • Morgan Stanley & Co. International Plc (no longer approved here)

    FRN 165935

    • CF30 Customer (1 Nov 2007 to 30 Sep 2014)
    • CF21 Investment Adviser (1 Jun 2005 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.