Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Harris Williams & Co. Ltd
FRN 540892
- [FCA CF] Client dealing (since 17 Jan 2022)
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- [FCA CF] Material risk taker (10 Sep 2021 to 12 Oct 2021)
- [FCA CF] Client dealing (9 Dec 2019 to 12 Oct 2021)
- [FCA CF] Manager of certification employee (9 Dec 2019 to 12 Oct 2021)
- CF30 Customer (7 Mar 2017 to 8 Dec 2019)
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- CF30 Customer (26 Mar 2013 to 16 Dec 2016)
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- CF27 Investment Management (12 Dec 2001 to 5 Sep 2003)
- CF23 Corporate Finance Adviser (1 Dec 2001 to 5 Sep 2003)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.