Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Lombard Odier (Europe) S.A.
FRN 597896
- 14. Managing investments
- 3. Giving personal recommendations on derivatives
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 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
- [FCA CF] Significant management (since 21 Nov 2016)
- [FCA CF] Client dealing (since 21 Nov 2016)
- [FCA CF] Functions requiring qualifications (since 21 Nov 2016)
- [FCA CF] Material risk taker (since 21 Nov 2016)
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- CF30 Customer (1 Nov 2007 to 6 Mar 2016)
- CF21 Investment Adviser (28 Jan 2004 to 31 Oct 2007)
- CF27 Investment Management (1 Dec 2001 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.