Pasquale Cataldi

Last updated
2 days ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • Complus Asset Management (UK) Limited (no longer approved here)

    FRN 999167

    • [FCA CF] Client dealing (16 Apr 2024 to 17 Mar 2026)
  • KROLL SECURITIES LTD. (no longer approved here)

    FRN 466588

    • CF30 Customer (2 Jan 2024 to 28 Feb 2024)
  • Complus Asset Management (UK) Limited (no longer approved here)

    FRN 979375

    • Employed By (2 Jan 2024 to 28 Feb 2024)
  • Nomura International Plc (no longer approved here)

    FRN 124422

    • [FCA CF] Significant management (15 Jun 2022 to 22 Mar 2023)
    • [FCA CF] Algorithmic trading (15 Jun 2022 to 22 Mar 2023)
    • [FCA CF] Client dealing (15 Jun 2022 to 22 Mar 2023)
    • [FCA CF] Material risk taker (15 Jun 2022 to 22 Mar 2023)
    • [FCA CF] Manager of certification employee (15 Jun 2022 to 22 Mar 2023)
  • Nomura Bank International Plc. (no longer approved here)

    FRN 204419

    • [FCA CF] Manager of certification employee (15 Jun 2022 to 22 Mar 2023)
    • [FCA CF] Significant management (15 Jun 2022 to 22 Mar 2023)
    • [FCA CF] Client dealing (15 Jun 2022 to 22 Mar 2023)
    • [FCA CF] Material risk taker (15 Jun 2022 to 22 Mar 2023)
  • J.P. Morgan SE (no longer approved here)

    FRN 755066

    • [FCA CF] Manager of certification employee (9 Dec 2019 to 12 Aug 2020)
  • JPMorgan Chase Bank, National Association (no longer approved here)

    FRN 124491

    • [FCA CF] Material risk taker (5 Oct 2018 to 10 Jun 2022)
    • [FCA CF] Client dealing (4 Jun 2018 to 10 Jun 2022)
    • [FCA CF] Manager of certification employee (4 Jun 2018 to 10 Jun 2022)
  • J.P. Morgan Securities plc (no longer approved here)

    FRN 155240

    • [FCA CF] Material risk taker (5 Oct 2018 to 10 Jun 2022)
    • [FCA CF] Client dealing (4 Jun 2018 to 10 Jun 2022)
    • [FCA CF] Manager of certification employee (4 Jun 2018 to 10 Jun 2022)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF30 Customer (17 May 2012 to 30 Aug 2014)
  • Bank of America, N.A. (no longer approved here)

    FRN 124642

    • CF30 Customer (22 Jun 2011 to 16 Jan 2012)
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