Where they hold approval

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

  • JPMorgan Chase Bank, National Association (no longer approved here)

    FRN 124491

    • [FCA CF] Client dealing (24 Dec 2020 to 1 May 2024)
    • [FCA CF] Material risk taker (24 Dec 2020 to 1 May 2024)
    • [FCA CF] Significant management (24 Dec 2020 to 1 May 2024)
    • [FCA CF] Manager of certification employee (3 Jul 2018 to 1 May 2024)
    • CF30 Customer (1 Nov 2007 to 5 Aug 2013)
    • CF21 Investment Adviser (1 Dec 2001 to 30 Dec 2002)
  • J.P. Morgan Europe Limited (no longer approved here)

    FRN 124579

    • [FCA CF] Client dealing (24 Dec 2020 to 4 Jul 2022)
    • [FCA CF] Material risk taker (24 Dec 2020 to 4 Jul 2022)
    • [FCA CF] Significant management (24 Dec 2020 to 4 Jul 2022)
    • [FCA CF] Manager of certification employee (3 Jul 2018 to 4 Jul 2022)
    • CF30 Customer (1 Nov 2007 to 5 Aug 2013)
    • CF21 Investment Adviser (1 Dec 2001 to 30 Dec 2002)
  • J.P. Morgan Securities plc (no longer approved here)

    FRN 155240

    • [FCA CF] Significant management (24 Dec 2020 to 1 May 2024)
    • [FCA CF] Material risk taker (24 Dec 2020 to 1 May 2024)
    • [FCA CF] Manager of certification employee (24 May 2018 to 1 May 2024)
    • [FCA CF] Client dealing (15 Nov 2017 to 1 May 2024)
    • CF30 Customer (1 Nov 2007 to 5 Aug 2013)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

Recent activity

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

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