Jose De Yermo

Last updated
3 weeks ago
Watch for changes

Where they hold approval

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

  • RIA Capital Markets Limited

    FRN 219706

    • [FCA CF] Proprietary trader (since 11 Jan 2021)
    • [FCA CF] Client dealing (since 11 Jan 2021)
    • [FCA CF] Material risk taker (11 Jan 2021 to 31 Dec 2021)
  • SMBC Nikko Capital Markets Limited (no longer approved here)

    FRN 171935

    • [FCA CF] Manager of certification employee (9 Dec 2019 to 31 Dec 2020)
    • [FCA CF] Client dealing (9 Dec 2019 to 31 Dec 2020)
    • [FCA CF] Material risk taker (9 Dec 2019 to 31 Dec 2020)
    • CF30 Customer (3 Jun 2013 to 8 Dec 2019)
  • Mizuho International plc (no longer approved here)

    FRN 119256

    • CF30 Customer (12 Dec 2008 to 1 Mar 2013)
  • Novate Global Markets Limited (no longer approved here)

    FRN 124624

    • (316)CF21 Investment Adviser (1 Dec 2001 to 5 Mar 2007)

Recent activity

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

  1. controlled function added: (316)CF21 Investment Adviser at Novate Global Markets Limited