Nicholas Dale

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.

  • 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 12 Oct 2022)
  • Credit Suisse (UK) Limited (no longer approved here)

    FRN 124269

    • [FCA CF] Client dealing (4 May 2018 to 10 Aug 2022)
    • [FCA CF] Functions requiring qualifications (7 Mar 2016 to 10 Aug 2022)
    • CF30 Customer (3 Mar 2014 to 6 Mar 2016)

Recent activity

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

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