John Brown Travis

Last updated
6 days ago
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Where they hold approval

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

  • Umbra Capital Partners LLP

    FRN 917090

    • [FCA CF] Client dealing (since 7 Dec 2020)
    • SMF27 Partner (since 1 May 2020)
    • SMF16 Compliance Oversight (1 May 2020 to 24 May 2021)
    • SMF17 Money Laundering Reporting Officer (MLRO) (1 May 2020 to 24 May 2021)
  • CORDET Capital Partners LLP (no longer approved here)

    FRN 623511

    • CF4 Partner (16 Dec 2014 to 6 Jun 2018)
    • CF10 Compliance Oversight (16 Dec 2014 to 4 Sep 2018)
    • CF11 Money Laundering Reporting (16 Dec 2014 to 4 Sep 2018)
    • CF30 Customer (16 Dec 2014 to 6 Jun 2018)
  • Morgan Stanley & Co. International Plc (no longer approved here)

    FRN 165935

    • CF30 Customer (1 Nov 2007 to 31 Jan 2014)
    • CF21 Investment Adviser (26 Oct 2002 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.