Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
-
CLSA (UK)
FRN 140836
- [FCA CF] Client dealing (since 9 Dec 2019)
- [FCA CF] Manager of certification employee (since 9 Dec 2019)
- [FCA CF] Significant management (since 9 Dec 2019)
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF21 Investment Adviser (2 Aug 2005 to 31 Oct 2007)
-
- CF21 Investment Adviser (20 Aug 2003 to 5 May 2005)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.