Sergio Puglisi

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.

  • Swiss Investment Corporation Limited

    FRN 164689

    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Material risk taker (9 Dec 2019 to 28 Apr 2023)
    • CF30 Customer (31 Dec 2018 to 8 Dec 2019)
  • Deutsche Bank AG (no longer approved here)

    FRN 150018

    • [FCA CF] Client dealing (5 Apr 2018 to 17 Sep 2018)
  • BGC Brokers L.P (no longer approved here)

    FRN 454814

    • CF30 Customer (30 Mar 2016 to 4 Jan 2017)
  • CREDIT SUISSE INTERNATIONAL (no longer approved here)

    FRN 146702

    • CF30 Customer (1 Nov 2007 to 12 Jun 2015)
    • CF21 Investment Adviser (26 Jul 2007 to 31 Oct 2007)
  • RBC Europe Limited (no longer approved here)

    FRN 124543

    • CF21 Investment Adviser (1 Dec 2001 to 21 Feb 2003)
  • Royal Bank of Canada (no longer approved here)

    FRN 124783

    • CF21 Investment Adviser (1 Dec 2001 to 21 Feb 2003)

Recent activity

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

No changes recorded yet.