Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
Oppenheimer Europe Ltd.
FRN 483856
- [FCA CF] Client dealing (since 4 Dec 2020)
- SMF9 Chair of the Governing Body (since 27 Feb 2020)
- SMF3 Executive Director (since 9 Dec 2019)
- SMF1 Chief Executive (since 9 Dec 2019)
- [FCA CF] Manager of certification employee (9 Dec 2024 to 9 Dec 2025)
- [FCA CF] Significant management (4 Dec 2020 to 9 Dec 2025)
- [FCA CF] Material risk taker (4 Dec 2020 to 9 Dec 2025)
- CF3 Chief Executive (17 Jul 2009 to 8 Dec 2019)
- CF29 Significant management (17 Jul 2009 to 5 Jan 2011)
- CF1 Director (17 Jul 2009 to 8 Dec 2019)
- CF30 Customer (17 Jul 2009 to 8 Dec 2019)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.