Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
AllianceBernstein Limited
FRN 147956
- SMF18 Other Overall Responsibility (since 21 Nov 2022)
- [FCA CF] Material risk taker (since 1 Jul 2022)
- [FCA CF] Client dealing (since 9 Dec 2019)
- SMF3 Executive Director (8 Jan 2021 to 21 Nov 2022)
- SMF18 Other Overall Responsibility (5 Mar 2020 to 8 Jan 2021)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF21 Investment Adviser (18 Sep 2006 to 31 Oct 2007)
- CF27 Investment Management (14 Aug 2002 to 7 Sep 2005)
- CF26 Customer Trading (1 Dec 2001 to 14 Aug 2002)
- CF22 Investment Adviser (Trainee) (1 Dec 2001 to 14 Aug 2002)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.