Juan Christian Graf Thun-Hohenstein

Last updated
1 week ago
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Where they hold approval

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

  • CLSA (UK) (no longer approved here)

    FRN 140836

    • [FCA CF] Client dealing (12 Sep 2022 to 29 Aug 2024)
  • Dealglobe Limited (no longer approved here)

    FRN 742015

    • [FCA CF] Client dealing (31 Mar 2021 to 19 Aug 2022)
    • [FCA CF] Manager of certification employee (31 Mar 2021 to 19 Aug 2022)
    • CF30 Customer (2 Oct 2017 to 8 Dec 2019)
  • Haitong International (UK) Limited (no longer approved here)

    FRN 196482

    • CF1 Director (16 May 2016 to 2 May 2017)
    • CF29 Significant management (11 Dec 2015 to 2 May 2017)
    • CF30 Customer (11 Dec 2015 to 2 May 2017)
  • Nomura International Plc (no longer approved here)

    FRN 124422

    • CF29 Significant management (1 Nov 2007 to 22 Jan 2009)
    • CF30 Customer (1 Nov 2007 to 30 Nov 2010)
    • CF16 Significant Mgt (Desgntd Investment Business) (25 Oct 2007 to 31 Oct 2007)
    • CF21 Investment Adviser (6 Jan 2006 to 31 Oct 2007)
  • DB UK Bank Limited (no longer approved here)

    FRN 140848

    • CF21 Investment Adviser (1 Dec 2001 to 18 Feb 2002)
  • Deutsche Bank AG (no longer approved here)

    FRN 150018

    • CF21 Investment Adviser (1 Dec 2001 to 28 Jan 2004)

Recent activity

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

No changes recorded yet.