Last updated
1 week ago
Watch for changes

Where they hold approval

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

  • J.P. Morgan SE

    FRN 755066

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 3. Giving personal recommendations on derivatives
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • 13. Giving personal recommendations on and dealing with derivatives
    • [FCA CF] Functions requiring qualifications (since 30 Nov 2023)
    • [FCA CF] Client dealing (since 30 Nov 2023)
  • Coutts & Company (no longer approved here)

    FRN 122287

    • [FCA CF] Manager of certification employee (9 Oct 2017 to 28 Nov 2020)
    • [FCA CF] Functions requiring qualifications (7 Mar 2016 to 28 Nov 2020)
    • CF30 Customer (4 Jan 2013 to 6 Mar 2016)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • CF21 Investment Adviser (28 Apr 2006 to 1 Oct 2006)
    • CF22 Investment Adviser (Trainee) (3 Oct 2005 to 28 Apr 2006)

Recent activity

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

No changes recorded yet.