JAMES BOYLE NIVEN

Last updated
2 weeks ago
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Where they hold approval

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

  • Wells Fargo Securities International Limited

    FRN 186745

    • [FCA CF] Client dealing (since 5 Aug 2022)
    • [FCA CF] Manager of certification employee (since 5 Aug 2022)
    • [FCA CF] Material risk taker (since 5 Aug 2022)
    • [FCA CF] Significant management (since 5 Aug 2022)
    • [PRA CF] Managing a material risk taker (5 Aug 2022 to 20 Sep 2022)
  • TD Execution Services Limited (no longer approved here)

    FRN 472780

    • SMF3 Executive Director (9 Dec 2019 to 1 Jul 2020)
    • CF1 Director (25 Oct 2019 to 8 Dec 2019)
    • CF30 Customer (25 Oct 2019 to 8 Dec 2019)
  • CREDIT SUISSE INTERNATIONAL (no longer approved here)

    FRN 146702

    • CF21 Investment Adviser (1 Dec 2001 to 8 May 2003)

Recent activity

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

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