Scott Alexander Rosenthal

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.

  • UBS AG

    FRN 186958

    • [PRA CF] Managing a material risk taker (since 29 Sep 2023)
    • [FCA CF] Manager of certification employee (since 18 Feb 2021)
    • [PRA CF] Significant risk taker or Material risk taker (since 25 Nov 2019)
    • [FCA CF] Material risk taker (since 25 Nov 2019)
    • [FCA CF] Client dealing (since 25 Nov 2019)
  • Nomura Bank International Plc. (no longer approved here)

    FRN 204419

    • [FCA CF] Client dealing (30 Nov 2018 to 19 Nov 2019)
  • Nomura International Plc (no longer approved here)

    FRN 124422

    • [FCA CF] Manager of certification employee (26 Oct 2018 to 19 Nov 2019)
    • [FCA CF] Material risk taker (18 Jan 2017 to 19 Nov 2019)
    • [FCA CF] Client dealing (11 Nov 2016 to 19 Nov 2019)
  • Morgan Stanley & Co. International Plc (no longer approved here)

    FRN 165935

    • CF30 Customer (17 Oct 2012 to 6 Mar 2016)

Recent activity

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

No changes recorded yet.