Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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JPMorgan Chase Bank, National Association
FRN 124491
- [FCA CF] Material risk taker (since 14 Dec 2022)
- [FCA CF] Client dealing (since 1 Nov 2022)
- [FCA CF] Manager of certification employee (16 Oct 2019 to 1 Nov 2021)
- [FCA CF] Material risk taker (7 Mar 2016 to 1 Nov 2021)
- [FCA CF] Client dealing (7 Mar 2016 to 1 Nov 2021)
- CF30 Customer (1 Nov 2007 to 6 Mar 2016)
- CF21 Investment Adviser (5 Oct 2006 to 30 May 2007)
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J.P. Morgan Securities plc
FRN 155240
- [FCA CF] Material risk taker (since 14 Dec 2022)
- [FCA CF] Client dealing (since 1 Nov 2022)
- [FCA CF] Manager of certification employee (16 Oct 2019 to 1 Nov 2021)
- [FCA CF] Client dealing (7 Mar 2016 to 1 Nov 2021)
- [FCA CF] Material risk taker (7 Mar 2016 to 1 Nov 2021)
- CF30 Customer (1 Nov 2007 to 6 Mar 2016)
- CF21 Investment Adviser (5 Oct 2006 to 30 May 2007)
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- [FCA CF] Client dealing (11 Nov 2020 to 1 Nov 2021)
- [FCA CF] Material risk taker (11 Nov 2020 to 1 Nov 2021)
- [FCA CF] Manager of certification employee (29 Sep 2020 to 1 Nov 2021)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.