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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

State Street Bank and Trust Company
FRN 170462
- [FCA CF] Manager of certification employee (since 16 Jun 2022)
- [FCA CF] Client dealing (since 7 Mar 2017)
- CF30 Customer (15 Nov 2012 to 6 Mar 2016)
State Street Global Markets International Limited (no longer approved here)
FRN 194525
- CF30 Customer (29 Aug 2012 to 20 Nov 2012)
JPMorgan Chase Bank, National Association (no longer approved here)
FRN 124491
- CF30 Customer (1 Nov 2007 to 11 Jul 2012)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
J.P. Morgan Securities plc (no longer approved here)
FRN 155240
- CF30 Customer (1 Nov 2007 to 11 Jul 2012)
- CF21 Investment Adviser (1 Dec 2001 to 30 Dec 2002)
J.P. Morgan Europe Limited (no longer approved here)
FRN 124579
- CF21 Investment Adviser (1 Dec 2001 to 8 Aug 2005)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.