Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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JPMorgan Chase Bank, National Association
FRN 124491
- [FCA CF] Manager of certification employee (since 6 Nov 2025)
- [FCA CF] Client dealing (since 7 Mar 2016)
- [FCA CF] Material risk taker (since 7 Mar 2016)
- [FCA CF] Significant management (since 7 Mar 2016)
- [FCA CF] Manager of certification employee (7 Mar 2016 to 7 Apr 2025)
- CF29 Significant management (17 Jul 2013 to 6 Mar 2016)
- CF30 Customer (1 Nov 2007 to 6 Mar 2016)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
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J.P. Morgan Securities plc
FRN 155240
- [FCA CF] Manager of certification employee (since 6 Nov 2025)
- [FCA CF] Client dealing (since 7 Mar 2016)
- [FCA CF] Significant management (since 7 Mar 2016)
- [FCA CF] Material risk taker (since 7 Mar 2016)
- [FCA CF] Manager of certification employee (7 Mar 2016 to 7 Apr 2025)
- CF29 Significant management (17 Jul 2013 to 6 Mar 2016)
- CF30 Customer (1 Nov 2007 to 6 Mar 2016)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
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- [FCA CF] Manager of certification employee (6 Aug 2024 to 7 Apr 2025)
- CF30 Customer (2 Jun 2008 to 30 Dec 2009)
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- [FCA CF] Manager of certification employee (25 Feb 2021 to 22 Jan 2022)
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- [FCA CF] Manager of certification employee (7 Mar 2016 to 15 Oct 2019)
- CF21 Investment Adviser (1 Dec 2001 to 30 Jun 2003)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.