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] Manager of certification employee (since 13 Oct 2022)
- [FCA CF] Functions requiring qualifications (since 20 Jul 2018)
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- [FCA CF] Client dealing (7 Mar 2016 to 23 Mar 2016)
- CF30 Customer (1 Nov 2007 to 6 Mar 2016)
- CF21 Investment Adviser (4 May 2007 to 31 Oct 2007)
- CF22 Investment Adviser (Trainee) (18 Sep 2006 to 4 May 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.