Where they hold approval

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

  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • [FCA CF] Significant management (26 Mar 2025 to 16 Jan 2026)
    • [PRA CF] Significant risk taker or Material risk taker (26 Mar 2025 to 16 Jan 2026)
    • [PRA CF] Managing a material risk taker (21 Mar 2025 to 16 Sep 2025)
    • [FCA CF] Manager of certification employee (13 Mar 2025 to 24 Mar 2025)
    • SMF6 Head of Key Business Areas (15 Jun 2021 to 31 Dec 2024)
  • HSBC UK Bank Plc (no longer approved here)

    FRN 765112

    • [FCA CF] Significant management (26 Mar 2025 to 16 Jan 2026)
    • [PRA CF] Significant risk taker or Material risk taker (26 Mar 2025 to 16 Jan 2026)
    • [PRA CF] Managing a material risk taker (21 Mar 2025 to 16 Sep 2025)
    • [FCA CF] Manager of certification employee (13 Mar 2025 to 24 Mar 2025)
  • Wells Fargo Bank, National Association (no longer approved here)

    FRN 456183

    • SMF3 Executive Director (6 Apr 2016 to 21 Apr 2016)
  • Wells Fargo Securities International Limited (no longer approved here)

    FRN 186745

    • CF3 Chief Executive (14 Oct 2015 to 21 Apr 2016)
    • CF1 Director (11 Jun 2014 to 21 Apr 2016)
    • CF29 Significant management (3 Mar 2014 to 26 Jun 2014)
    • CF30 Customer (13 Feb 2013 to 21 Apr 2016)

Recent activity

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

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