Mark Winterburn

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.

  • Julius Baer International Limited

    FRN 139179

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 13. Giving personal recommendations on and dealing with derivatives
    • [FCA CF] Significant management (since 30 Mar 2023)
    • [FCA CF] Material risk taker (since 1 Jan 2023)
    • [FCA CF] Functions requiring qualifications (since 1 Apr 2020)
    • [FCA CF] Manager of certification employee (since 1 Apr 2020)
    • [FCA CF] Client dealing (since 1 Apr 2020)
    • CF30 Customer (13 Mar 2017 to 8 Dec 2019)
  • Coutts & Company (no longer approved here)

    FRN 122287

    • CF30 Customer (14 Mar 2013 to 6 Mar 2016)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (10 May 2010 to 19 Jan 2012)
  • Citibank, N.A. (no longer approved here)

    FRN 124704

    • CF30 Customer (1 Nov 2007 to 3 Feb 2010)
    • CF21 Investment Adviser (28 Sep 2007 to 31 Oct 2007)
  • BROWN SHIPLEY & CO. LIMITED (no longer approved here)

    FRN 124548

    • CF22 Investment Adviser (Trainee) (29 Jan 2004 to 7 Jul 2004)

Recent activity

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

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