Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Bank of America, N.A.
FRN 124642
- [FCA CF] Material risk taker (since 18 Dec 2020)
- [FCA CF] Client dealing (since 22 Jul 2020)
- CF30 Customer (7 Jul 2014 to 6 Mar 2016)
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Merrill Lynch International
FRN 147150
- [FCA CF] Material risk taker (since 18 Dec 2020)
- [FCA CF] Client dealing (since 7 Sep 2016)
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- CF30 Customer (1 Nov 2007 to 14 Apr 2008)
- CF26 Customer Trading (16 Oct 2006 to 31 Oct 2007)
- CF21 Investment Adviser (18 Sep 2003 to 21 Jan 2005)
- CF22 Investment Adviser (Trainee) (11 Sep 2002 to 18 Sep 2003)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.