Roger Mark Hallam

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.

  • VANGUARD INVESTMENTS UK, LIMITED

    FRN 494699

    • [FCA CF] Manager of certification employee (since 21 Feb 2023)
    • [FCA CF] Material risk taker (since 19 Dec 2022)
  • VANGUARD ASSET MANAGEMENT, LTD.

    FRN 527839

    • [FCA CF] Material risk taker (since 19 Dec 2022)
    • [FCA CF] Client dealing (since 19 Dec 2022)
    • [FCA CF] Significant management (since 19 Dec 2022)
    • [FCA CF] Manager of certification employee (since 19 Dec 2022)
  • J.P. Morgan Investment Management Inc (no longer approved here)

    FRN 119267

    • [FCA CF] Manager of certification employee (21 Sep 2020 to 26 Jul 2022)
    • [FCA CF] Client dealing (9 Dec 2019 to 26 Jul 2022)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF27 Investment Management (14 Jun 2005 to 31 Oct 2007)
  • JPMorgan Asset Management (UK) Limited (no longer approved here)

    FRN 119337

    • [FCA CF] Manager of certification employee (21 Sep 2020 to 26 Jul 2022)
    • [FCA CF] Material risk taker (9 Dec 2019 to 26 Jul 2022)
    • [FCA CF] Client dealing (9 Dec 2019 to 26 Jul 2022)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF27 Investment Management (14 Jun 2005 to 31 Oct 2007)
  • JPMorgan Chase Bank, National Association (no longer approved here)

    FRN 124491

    • [FCA CF] Material risk taker (18 Jan 2017 to 26 Jul 2022)
    • [FCA CF] Client dealing (7 Mar 2016 to 26 Jul 2022)
    • [FCA CF] Manager of certification employee (7 Mar 2016 to 26 Jul 2022)
    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF27 Investment Management (14 Jun 2005 to 31 Oct 2007)

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

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