James Franz

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.

  • Cantor Fitzgerald Europe

    FRN 149380

    • SMF18 Other Overall Responsibility (since 1 Mar 2023)
    • [FCA CF] Material risk taker (since 24 Nov 2021)
    • [FCA CF] Proprietary trader (9 Dec 2019 to 31 Dec 2022)
    • [FCA CF] Client dealing (9 Dec 2019 to 31 Dec 2022)
    • [FCA CF] Manager of certification employee (9 Dec 2019 to 31 Dec 2022)
    • CF30 Customer (22 May 2009 to 8 Dec 2019)
  • Citigroup Global Markets Limited (no longer approved here)

    FRN 124384

    • CF30 Customer (1 Nov 2007 to 13 Mar 2009)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.