Louise Sarah Hartley

Last updated
3 weeks ago
Watch for changes

Where they hold approval

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

  • Citibank, N.A.

    FRN 124704

    • 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
    • 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
    • 14. Managing investments
    • 16. Safeguarding and administering investments or holding client money
    • [FCA CF] Material risk taker (since 12 Aug 2021)
    • [PRA CF] Significant risk taker or Material risk taker (since 12 Aug 2021)
    • [FCA CF] Manager of certification employee (since 6 Jul 2017)
    • [FCA CF] Client dealing (since 18 Nov 2016)
    • [FCA CF] Functions requiring qualifications (since 7 Mar 2016)
    • CF30 Customer (25 Oct 2013 to 6 Mar 2016)
    • CF21 Investment Adviser (17 Aug 2007 to 31 Oct 2007)
  • Citibank Europe plc (no longer approved here)

    FRN 211646

    • [PRA CF] Significant risk taker or Material risk taker (12 Aug 2021 to 30 Oct 2023)
    • [FCA CF] Material risk taker (12 Aug 2021 to 30 Oct 2023)
    • [FCA CF] Manager of certification employee (6 Jul 2017 to 30 Oct 2023)
    • [FCA CF] Client dealing (18 Nov 2016 to 30 Oct 2023)
    • [FCA CF] Functions requiring qualifications (7 Mar 2016 to 30 Oct 2023)
    • CF30 Customer (1 Jan 2016 to 6 Mar 2016)
  • Coutts & Company (no longer approved here)

    FRN 122287

    • CF21 Investment Adviser (19 Jul 2005 to 19 Mar 2007)
    • CF22 Investment Adviser (Trainee) (16 Aug 2004 to 19 Jul 2005)

Recent activity

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

No changes recorded yet.