Lawrence Joel Sugarman

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.

  • UBS AG

    FRN 186958

    • [FCA CF] Material risk taker (since 11 Nov 2022)
    • [PRA CF] Significant risk taker or Material risk taker (since 11 Nov 2022)
    • [FCA CF] Manager of certification employee (since 15 Oct 2020)
    • [FCA CF] Client dealing (since 9 Dec 2017)
  • Panmure Liberum Capital Limited (no longer approved here)

    FRN 465050

    • CF30 Customer (8 May 2012 to 30 Sep 2013)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF30 Customer (14 Sep 2011 to 11 Apr 2012)
  • ING Bank N.V. (no longer approved here)

    FRN 124940

    • CF30 Customer (9 Jul 2009 to 26 Nov 2010)

Recent activity

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

No changes recorded yet.