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.

    • [FCA CF] Significant management (since 20 Sep 2024)
    • [FCA CF] Material risk taker (since 23 May 2023)
    • [FCA CF] Manager of certification employee (since 9 Dec 2022)
    • [FCA CF] Client dealing (since 9 Dec 2022)
    • [FCA CF] Significant management (since 20 Sep 2024)
    • [FCA CF] Material risk taker (since 23 May 2023)
    • [FCA CF] Client dealing (since 14 Apr 2023)
    • [FCA CF] Manager of certification employee (since 19 Jan 2023)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • [PRA CF] Significant risk taker or Material risk taker (13 Jul 2016 to 2 Jul 2019)
    • [FCA CF] Manager of certification employee (7 Mar 2016 to 7 Jul 2020)
    • [FCA CF] Client dealing (7 Mar 2016 to 7 Jul 2020)
    • CF30 Customer (17 Oct 2014 to 6 Mar 2016)
  • Barclays Capital Securities Limited (no longer approved here)

    FRN 124431

    • CF30 Customer (1 Nov 2007 to 17 Jun 2014)
    • CF21 Investment Adviser (19 Jul 2006 to 31 Oct 2007)
  • JPMorgan Chase Bank, National Association (no longer approved here)

    FRN 124491

    • CF21 Investment Adviser (1 Dec 2001 to 10 Jul 2006)
  • J.P. Morgan Europe Limited (no longer approved here)

    FRN 124579

    • CF21 Investment Adviser (1 Dec 2001 to 8 Aug 2005)
  • J.P. Morgan Securities plc (no longer approved here)

    FRN 155240

    • CF21 Investment Adviser (1 Dec 2001 to 10 Jul 2006)

Recent activity

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

No changes recorded yet.