Roderick Boulton

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.

  • DB UK Bank Limited

    FRN 140848

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 13. Giving personal recommendations on and dealing with derivatives
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 3. Giving personal recommendations on derivatives
    • [FCA CF] Client dealing (since 20 Sep 2019)
    • [FCA CF] Functions requiring qualifications (since 20 Sep 2019)
    • [FCA CF] Manager of certification employee (20 May 2022 to 5 Nov 2025)
    • [FCA CF] Material risk taker (1 Jan 2022 to 31 Dec 2022)
  • Credit Suisse (UK) Limited (no longer approved here)

    FRN 124269

    • [FCA CF] Client dealing (4 May 2018 to 23 May 2019)
    • [FCA CF] Functions requiring qualifications (7 Mar 2016 to 23 May 2019)
    • CF30 Customer (5 Jul 2010 to 6 Mar 2016)
  • Barclays Capital Securities Limited (no longer approved here)

    FRN 124431

    • CF21 Investment Adviser (17 Sep 2002 to 14 Apr 2003)

Recent activity

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

No changes recorded yet.