James Bashford

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.

  • Citibank, N.A.

    FRN 124704

    • 3. Giving personal recommendations on derivatives
    • 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
    • 14. Managing investments
    • 16. Safeguarding and administering investments or holding client money
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Client dealing (since 18 Nov 2016)
    • [FCA CF] Functions requiring qualifications (since 7 Mar 2016)
    • CF30 Customer (11 Aug 2015 to 6 Mar 2016)
  • Citibank Europe plc (no longer approved here)

    FRN 211646

    • [FCA CF] Client dealing (18 Nov 2016 to 16 Oct 2023)
    • [FCA CF] Functions requiring qualifications (7 Mar 2016 to 16 Oct 2023)
    • CF30 Customer (1 Jan 2016 to 6 Mar 2016)
  • Credit Suisse (UK) Limited (no longer approved here)

    FRN 124269

    • CF30 Customer (2 Dec 2013 to 10 Nov 2014)
  • Morgan Stanley & Co. International Plc (no longer approved here)

    FRN 165935

    • CF30 Customer (1 Nov 2007 to 26 Oct 2010)
    • CF21 Investment Adviser (24 Aug 2004 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.