Last updated
2 weeks ago
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Where they hold approval

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

    • 14. Managing investments
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2020)
    • [FCA CF] Client dealing (since 9 Dec 2020)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • SMF27 Partner (since 9 Dec 2019)
    • Responsible for Insurance Distribution (1 Oct 2018 to 1 Apr 2019)
    • CF1 Director (AR) (30 Oct 2017 to 20 Jul 2021)
    • Responsible for Insurance Mediation (27 Feb 2017 to 30 Sep 2018)
    • Responsibility for MCD Intermediation (16 Aug 2016 to 1 Apr 2019)
    • CF30 Customer (1 Nov 2007 to 30 Sep 2021)
    • CF28 Systems and controls (1 Nov 2007 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (9 Dec 2004 to 31 Oct 2007)
    • CF4 Partner (9 Dec 2004 to 8 Dec 2019)
    • CF3 Chief Executive (9 Dec 2004 to 8 Dec 2019)
    • CF27 Investment Management (9 Dec 2004 to 31 Oct 2007)
    • CF13 Finance (9 Dec 2004 to 31 Oct 2007)
  • JPMorgan Chase Bank, National Association (no longer approved here)

    FRN 124491

    • CF21 Investment Adviser (1 Dec 2001 to 16 Jul 2003)
  • J.P. Morgan Europe Limited (no longer approved here)

    FRN 124579

    • CF21 Investment Adviser (1 Dec 2001 to 30 Dec 2002)
  • J.P. Morgan Securities plc (no longer approved here)

    FRN 155240

    • CF21 Investment Adviser (1 Dec 2001 to 14 Apr 2004)

Recent activity

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

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