Pratap Thakkar

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.

  • Raymond James Financial International Limited

    FRN 188244

    • [FCA CF] Material risk taker (since 24 Feb 2023)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • CF10 Compliance Oversight (21 May 2014 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (21 May 2014 to 8 Dec 2019)
  • R.J. O'Brien Limited (no longer approved here)

    FRN 114120

    • CF1 Director (14 Nov 2012 to 21 Mar 2014)
  • Kyte Broking Limited (no longer approved here)

    FRN 174863

    • CF1 Director (14 Nov 2012 to 21 Mar 2014)
  • GFI Securities Limited (no longer approved here)

    FRN 184801

    • CF11 Money Laundering Reporting (1 Dec 2001 to 21 Mar 2014)
    • CF10 Compliance Oversight (1 Dec 2001 to 21 Mar 2014)

Recent activity

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

No changes recorded yet.