James Christopher Neil Dumbell

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.

  • Commonwealth Bank of Australia

    FRN 139185

    • [FCA CF] Material risk taker (since 30 Sep 2019)
    • [FCA CF] Client dealing (since 10 Jan 2018)
  • Deutsche Bank AG (no longer approved here)

    FRN 150018

    • CF30 Customer (20 Apr 2011 to 17 Apr 2015)
  • Barclays Capital Securities Limited (no longer approved here)

    FRN 124431

    • CF30 Customer (4 Aug 2008 to 16 Jun 2010)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF30 Customer (1 Nov 2007 to 22 Apr 2008)
    • CF21 Investment Adviser (16 Jun 2003 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (3 Mar 2003 to 16 Jun 2003)

Recent activity

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

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