Kevin Cummings

Last updated
3 weeks ago
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Where they hold approval

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

  • Nomura International Plc (no longer approved here)

    FRN 124422

    • [FCA CF] Manager of certification employee (19 Sep 2018 to 9 Sep 2020)
    • [FCA CF] Client dealing (9 Nov 2016 to 9 Sep 2020)
    • [FCA CF] Material risk taker (9 Nov 2016 to 9 Sep 2020)
    • CF30 Customer (14 Dec 2010 to 6 Mar 2016)
  • Barclays Capital Securities Limited (no longer approved here)

    FRN 124431

    • CF30 Customer (1 Nov 2007 to 30 Mar 2010)
    • CF21 Investment Adviser (26 Apr 2005 to 31 Oct 2007)
  • Bank of America, N.A. (no longer approved here)

    FRN 124642

    • CF21 Investment Adviser (18 Feb 2002 to 25 Oct 2004)

Recent activity

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

No changes recorded yet.