Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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AllianceBernstein Limited
FRN 147956
- [FCA CF] Material risk taker (since 1 Jul 2022)
- [FCA CF] Client dealing (since 10 Mar 2022)
- SMF3 Executive Director (since 7 Mar 2022)
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- [FCA CF] Manager of certification employee (7 Jun 2021 to 11 Oct 2021)
- [FCA CF] Material risk taker (5 May 2021 to 22 Jul 2021)
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- [PRA CF] Managing a material risk taker (1 Apr 2021 to 11 Oct 2021)
- [FCA CF] Manager of certification employee (9 Dec 2019 to 11 Oct 2021)
- [FCA CF] Material risk taker (9 Dec 2019 to 17 Mar 2021)
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- [FCA CF] Manager of certification employee (1 Apr 2020 to 21 Aug 2020)
- [FCA CF] Significant management (1 Apr 2020 to 10 Jul 2020)
- SMF1 Chief Executive (9 Dec 2019 to 11 Oct 2021)
- SMF3 Executive Director (9 Dec 2019 to 11 Oct 2021)
- CF3 Chief Executive (18 Apr 2016 to 8 Dec 2019)
- CF1 Director (12 Mar 2015 to 8 Dec 2019)
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- [FCA CF] Material risk taker (1 Apr 2020 to 9 Mar 2021)
- [FCA CF] Manager of certification employee (1 Apr 2020 to 11 Oct 2021)
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- [FCA CF] Manager of certification employee (9 Dec 2019 to 22 Jun 2021)
- [FCA CF] Material risk taker (9 Dec 2019 to 17 Mar 2021)
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- CF30 Customer (1 Dec 2009 to 10 Oct 2011)
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- CF30 Customer (24 Aug 2009 to 10 Oct 2011)
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- CF30 Customer (24 Aug 2009 to 10 Oct 2011)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.