Laurence Stoppelman

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.

  • Citibank, N.A.

    FRN 124704

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 13. Giving personal recommendations on and dealing with derivatives
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 3. Giving personal recommendations on derivatives
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Manager of certification employee (since 10 Feb 2023)
    • [FCA CF] Client dealing (since 10 Feb 2023)
    • [FCA CF] Functions requiring qualifications (since 10 Feb 2023)
    • [FCA CF] Material risk taker (since 10 Feb 2023)
    • [PRA CF] Significant risk taker or Material risk taker (since 10 Feb 2023)
    • [FCA CF] Significant management (7 Jul 2020 to 26 Oct 2021)
    • [FCA CF] Client dealing (14 Nov 2016 to 26 Oct 2021)
    • [FCA CF] Material risk taker (8 Nov 2016 to 26 Oct 2021)
    • [PRA CF] Significant risk taker or Material risk taker (8 Nov 2016 to 26 Oct 2021)
    • [FCA CF] Functions requiring qualifications (7 Mar 2016 to 26 Oct 2021)
    • [FCA CF] Manager of certification employee (7 Mar 2016 to 26 Oct 2021)
    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF21 Investment Adviser (29 Oct 2003 to 31 Oct 2007)
  • Citibank Europe plc (no longer approved here)

    FRN 211646

    • [FCA CF] Material risk taker (10 Feb 2023 to 30 Oct 2023)
    • [PRA CF] Significant risk taker or Material risk taker (10 Feb 2023 to 30 Oct 2023)
    • [FCA CF] Client dealing (10 Feb 2023 to 30 Oct 2023)
    • [FCA CF] Significant management (7 Jul 2020 to 26 Oct 2021)
    • [FCA CF] Manager of certification employee (7 Mar 2016 to 26 Oct 2021)
    • [FCA CF] Functions requiring qualifications (7 Mar 2016 to 26 Oct 2021)
    • CF30 Customer (1 Jan 2016 to 6 Mar 2016)

Recent activity

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

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