James Nowak

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.

  • Morgan Stanley & Co. International Plc

    FRN 165935

    • [FCA CF] Client dealing (since 18 Mar 2024)
    • [FCA CF] Manager of certification employee (since 18 Mar 2024)
    • [FCA CF] Material risk taker (18 Mar 2024 to 6 Mar 2026)
  • Morgan Stanley Bank International Limited

    FRN 195430

    • [FCA CF] Manager of certification employee (since 18 Mar 2024)
    • [FCA CF] Client dealing (since 18 Mar 2024)
    • [FCA CF] Material risk taker (18 Mar 2024 to 6 Mar 2026)
  • Citibank, N.A. (no longer approved here)

    FRN 124704

    • [PRA CF] Significant risk taker or Material risk taker (18 Dec 2020 to 31 Aug 2023)
    • [FCA CF] Material risk taker (18 Dec 2020 to 31 Aug 2023)
    • [FCA CF] Client dealing (21 Sep 2018 to 31 Aug 2023)
    • [FCA CF] Manager of certification employee (21 Sep 2018 to 31 Aug 2023)
  • Citibank Europe plc (no longer approved here)

    FRN 211646

    • [PRA CF] Significant risk taker or Material risk taker (18 Dec 2020 to 31 Aug 2023)
    • [FCA CF] Material risk taker (18 Dec 2020 to 31 Aug 2023)
    • [FCA CF] Manager of certification employee (21 Sep 2018 to 31 Aug 2023)
    • [FCA CF] Client dealing (21 Sep 2018 to 31 Aug 2023)
  • Citigroup Global Markets Limited (no longer approved here)

    FRN 124384

    • [PRA CF] Significant risk taker or Material risk taker (22 Feb 2019 to 31 Aug 2023)
    • [FCA CF] Material risk taker (22 Feb 2019 to 31 Aug 2023)
    • [FCA CF] Manager of certification employee (21 Sep 2018 to 31 Aug 2023)
    • [FCA CF] Client dealing (21 Sep 2018 to 31 Aug 2023)
  • Goldman Sachs International Bank (no longer approved here)

    FRN 124659

    • CF30 Customer (3 Sep 2013 to 6 Mar 2016)
  • Goldman Sachs Bank USA (no longer approved here)

    FRN 582328

    • CF30 Customer (3 Sep 2013 to 6 Mar 2016)
  • Deutsche Bank AG (no longer approved here)

    FRN 150018

    • CF30 Customer (7 Oct 2010 to 30 May 2013)
  • RBC Europe Limited (no longer approved here)

    FRN 124543

    • CF30 Customer (1 Nov 2007 to 9 Sep 2010)
    • CF22 Investment Adviser (Trainee) (22 Nov 2006 to 31 Oct 2007)
  • Royal Bank of Canada (no longer approved here)

    FRN 124783

    • CF30 Customer (1 Nov 2007 to 9 Sep 2010)
    • CF22 Investment Adviser (Trainee) (22 Nov 2006 to 31 Oct 2007)

Recent activity

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

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