Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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UBS AG
FRN 186958
- 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 3. Giving personal recommendations on derivatives
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 13. Giving personal recommendations on and dealing with derivatives
- [FCA CF] Manager of certification employee (since 20 Jan 2026)
- [FCA CF] Functions requiring qualifications (since 1 May 2025)
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- [PRA CF] Significant risk taker or Material risk taker (1 Jan 2023 to 19 Jun 2024)
- [FCA CF] Material risk taker (1 Jan 2023 to 19 Jun 2024)
- [FCA CF] Client dealing (5 Mar 2020 to 23 Jun 2025)
- [FCA CF] Functions requiring qualifications (24 Oct 2016 to 29 May 2024)
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- CF30 Customer (1 Nov 2007 to 6 Mar 2016)
- CF21 Investment Adviser (10 Oct 2003 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.