James Sleeman

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.

  • Bank of America, N.A.

    FRN 124642

    • [FCA CF] Client dealing (since 24 Feb 2017)
    • [FCA CF] Manager of certification employee (since 24 Feb 2017)
    • [FCA CF] Material risk taker (since 24 Feb 2017)
    • [FCA CF] Significant management (since 16 Feb 2017)
  • Merrill Lynch International

    FRN 147150

    • [FCA CF] Client dealing (since 7 Sep 2016)
    • [FCA CF] Material risk taker (since 7 Mar 2016)
    • [FCA CF] Manager of certification employee (since 7 Mar 2016)
  • Citigroup Global Markets Limited (no longer approved here)

    FRN 124384

    • CF30 Customer (25 Nov 2009 to 14 Oct 2010)
    • CF23 Corporate Finance Adviser (1 Dec 2001 to 30 Mar 2007)

Recent activity

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

No changes recorded yet.