Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • UBS AG

    FRN 186958

    • 13. Giving personal recommendations on and dealing with derivatives
    • 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
    • [FCA CF] Functions requiring qualifications (since 2 May 2023)
  • Coutts & Company (no longer approved here)

    FRN 122287

    • [FCA CF] Functions requiring qualifications (7 Mar 2016 to 24 Mar 2023)
    • CF30 Customer (19 Aug 2015 to 6 Mar 2016)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (27 Mar 2008 to 25 Apr 2008)

Recent activity

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

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