Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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UBS AG
FRN 186958
- 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 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
- 13. Giving personal recommendations on and dealing with derivatives
- [FCA CF] Functions requiring qualifications (since 6 Oct 2022)
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- [FCA CF] Client dealing (4 May 2018 to 29 Sep 2022)
- [FCA CF] Functions requiring qualifications (3 Jul 2017 to 29 Sep 2022)
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- CF21 Investment Adviser (24 Aug 2005 to 11 May 2007)
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- CF21 Investment Adviser (24 Aug 2005 to 11 May 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.