Where they hold approval

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

  • UBS AG

    FRN 186958

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 3. Giving personal recommendations on derivatives
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 13. Giving personal recommendations on and dealing with derivatives
    • [FCA CF] Functions requiring qualifications (since 1 May 2024)
  • Credit Suisse (UK) Limited (no longer approved here)

    FRN 124269

    • [FCA CF] Client dealing (4 May 2018 to 1 May 2024)
    • [FCA CF] Functions requiring qualifications (7 Mar 2016 to 1 May 2024)
    • CF30 Customer (14 Sep 2010 to 6 Mar 2016)
  • Morgan Stanley & Co. International Plc (no longer approved here)

    FRN 165935

    • CF30 Customer (21 Oct 2008 to 4 Sep 2009)

Recent activity

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

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