Ralph Andrew Sherman

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.

  • Bank of Montreal

    FRN 124788

    • [FCA CF] Client dealing (since 29 Mar 2023)
    • [PRA CF] Managing a material risk taker (since 29 Mar 2023)
    • [FCA CF] Significant management (since 29 Mar 2023)
    • [FCA CF] Material risk taker (since 29 Mar 2023)
  • The Toronto-Dominion Bank (no longer approved here)

    FRN 124859

    • [PRA CF] Managing a material risk taker (1 Dec 2017 to 21 Feb 2023)
    • [FCA CF] Client dealing (1 Dec 2017 to 21 Feb 2023)
    • [FCA CF] Manager of certification employee (1 Dec 2017 to 21 Feb 2023)
    • [FCA CF] Material risk taker (7 Mar 2016 to 21 Feb 2023)
    • CF30 Customer (20 Jan 2014 to 6 Mar 2016)
  • RBC Europe Limited (no longer approved here)

    FRN 124543

    • CF30 Customer (11 Aug 2008 to 12 Aug 2013)
  • Royal Bank of Canada (no longer approved here)

    FRN 124783

    • CF30 Customer (11 Aug 2008 to 12 Aug 2013)
  • NatWest Markets Plc (no longer approved here)

    FRN 121882

    • CF30 Customer (1 Nov 2007 to 13 May 2008)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.