Ralph Herrgott

Last updated
2 weeks ago
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Where they hold approval

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

  • ASTARIS CAPITAL MANAGEMENT LLP (no longer approved here)

    FRN 487568

    • SMF27 Partner (9 Dec 2019 to 16 Oct 2020)
    • CF30 Customer (3 Feb 2009 to 15 Oct 2018)
    • CF4 Partner (3 Feb 2009 to 8 Dec 2019)
  • Serone Capital Management LLP (no longer approved here)

    FRN 502305

    • [FCA CF] Client dealing (9 Dec 2019 to 7 Sep 2023)
    • CF30 Customer (1 Nov 2018 to 8 Dec 2019)
  • JPMorgan Chase Bank, National Association (no longer approved here)

    FRN 124491

    • CF30 Customer (1 Nov 2007 to 16 Aug 2008)
    • CF21 Investment Adviser (30 Sep 2004 to 31 Oct 2007)
  • J.P. Morgan Securities plc (no longer approved here)

    FRN 155240

    • CF30 Customer (1 Nov 2007 to 16 Aug 2008)
    • CF21 Investment Adviser (30 Sep 2004 to 31 Oct 2007)

Recent activity

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

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