Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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UBS AG
FRN 186958
- [PRA CF] Managing a material risk taker (since 6 Sep 2022)
- [PRA CF] Significant risk taker or Material risk taker (since 15 Jan 2018)
- [FCA CF] Client dealing (since 15 Jan 2018)
- [FCA CF] Manager of certification employee (since 15 Jan 2018)
- [FCA CF] Material risk taker (since 15 Jan 2018)
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- CF30 Customer (2 Aug 2011 to 11 Dec 2017)
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- CF30 Customer (1 Nov 2007 to 28 Jan 2011)
- CF22 Investment Adviser (Trainee) (4 Feb 2005 to 31 Oct 2007)
- CF21 Investment Adviser (19 Jan 2005 to 3 Feb 2005)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.