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
    • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
    • 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] Functions requiring qualifications (since 9 Jan 2017)
    • [FCA CF] Client dealing (since 9 Jan 2017)
    • [PRA CF] Significant risk taker or Material risk taker (30 Sep 2022 to 3 Nov 2022)
    • [FCA CF] Material risk taker (30 Sep 2022 to 3 Nov 2022)
    • CF30 Customer (25 Jul 2012 to 6 Mar 2016)
  • Citibank Europe plc (no longer approved here)

    FRN 211646

    • [FCA CF] Material risk taker (30 Sep 2022 to 3 Nov 2022)
    • [PRA CF] Significant risk taker or Material risk taker (30 Sep 2022 to 3 Nov 2022)
    • [FCA CF] Client dealing (9 Jan 2017 to 30 Oct 2023)
    • [FCA CF] Functions requiring qualifications (9 Jan 2017 to 30 Oct 2023)
    • CF30 Customer (1 Jan 2016 to 6 Mar 2016)
  • Citigroup Global Markets Limited (no longer approved here)

    FRN 124384

    • CF30 Customer (25 Jul 2012 to 13 Sep 2013)
  • Coutts & Company (no longer approved here)

    FRN 122287

    • CF30 Customer (1 Nov 2007 to 2 Apr 2012)
    • CF22 Investment Adviser (Trainee) (13 Oct 2006 to 31 Oct 2007)

Recent activity

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

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