Sean Thomas O'Brien

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.

  • UBS AG

    FRN 186958

    • 11. Pension transfer specialist
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Manager of certification employee (since 15 Mar 2021)
    • [FCA CF] Functions requiring qualifications (since 13 Jun 2019)
  • Womble Bond Dickinson Wealth Limited (no longer approved here)

    FRN 596652

    • CF30 Customer (12 Jun 2013 to 4 Jul 2019)

Recent activity

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

No changes recorded yet.