Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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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)
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- [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)
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- CF30 Customer (21 Oct 2008 to 4 Sep 2009)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.