Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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UBS AG
FRN 186958
- [FCA CF] Manager of certification employee (since 4 Apr 2023)
- [FCA CF] Client dealing (since 13 Dec 2022)
- [PRA CF] Significant risk taker or Material risk taker (since 13 Dec 2022)
- [FCA CF] Material risk taker (since 13 Dec 2022)
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- [FCA CF] Client dealing (22 Jan 2020 to 30 Sep 2020)
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- CF30 Customer (16 Jun 2008 to 30 Nov 2010)
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- CF30 Customer (1 Nov 2007 to 31 May 2008)
- CF21 Investment Adviser (3 Apr 2003 to 31 Oct 2007)
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- CF21 Investment Adviser (1 Dec 2001 to 22 Nov 2002)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.