Where they hold approval

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

  • Bank of America, N.A. (no longer approved here)

    FRN 124642

    • [FCA CF] Significant management (3 Aug 2017 to 5 Mar 2019)
    • [FCA CF] Client dealing (23 Feb 2017 to 7 Jan 2022)
    • [FCA CF] Manager of certification employee (23 Feb 2017 to 7 Jan 2022)
    • [FCA CF] Material risk taker (23 Feb 2017 to 7 Jan 2022)
    • CF30 Customer (3 May 2012 to 6 Mar 2016)
  • Morgan Stanley & Co. International Plc (no longer approved here)

    FRN 165935

    • CF21 Investment Adviser (1 Dec 2001 to 24 Sep 2006)

Recent activity

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

No changes recorded yet.