Neil Humble

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.

  • Nomura Bank International Plc.

    FRN 204419

    • [FCA CF] Client dealing (since 11 May 2018)
    • [FCA CF] Material risk taker (12 Nov 2019 to 10 Nov 2025)
    • [FCA CF] Manager of certification employee (3 May 2019 to 3 Dec 2020)
  • Nomura International Plc

    FRN 124422

    • [FCA CF] Client dealing (since 18 Nov 2016)
    • [FCA CF] Manager of certification employee (19 Sep 2018 to 26 May 2022)
    • [FCA CF] Material risk taker (18 Nov 2016 to 10 Nov 2025)
    • CF30 Customer (26 Nov 2009 to 6 Mar 2016)
  • JPMorgan Chase Bank, National Association (no longer approved here)

    FRN 124491

    • CF21 Investment Adviser (6 Jun 2005 to 9 Mar 2007)
  • J.P. Morgan Securities plc (no longer approved here)

    FRN 155240

    • CF21 Investment Adviser (6 Jun 2005 to 14 Mar 2007)

Recent activity

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

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