Lee Brock

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.

  • SMBC Bank International plc (no longer approved here)

    FRN 223304

    • [FCA CF] Client dealing (23 Sep 2024 to 10 Mar 2025)
  • SMBC Nikko Capital Markets Limited (no longer approved here)

    FRN 171935

    • [FCA CF] Client dealing (16 Nov 2021 to 10 Mar 2025)
  • VTB Capital plc (no longer approved here)

    FRN 144003

    • [FCA CF] Manager of certification employee (31 Aug 2016 to 27 Sep 2019)
    • [FCA CF] Material risk taker (31 Aug 2016 to 27 Sep 2019)
    • [FCA CF] Client dealing (31 Aug 2016 to 27 Sep 2019)
    • [FCA CF] Proprietary trader (31 Aug 2016 to 27 Sep 2019)
    • CF30 Customer (13 Jun 2012 to 6 Mar 2016)
  • Macquarie Bank Ltd (no longer approved here)

    FRN 170934

    • CF30 Customer (15 Nov 2010 to 7 Aug 2011)
  • Citigroup Global Markets Limited (no longer approved here)

    FRN 124384

    • CF30 Customer (1 Nov 2007 to 17 Aug 2010)
    • CF21 Investment Adviser (18 Sep 2006 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.