Stephan Bauer

Last updated
3 weeks ago
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Where they hold approval

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

  • Nomura International Plc

    FRN 124422

    • [FCA CF] Manager of certification employee (since 7 Jul 2019)
    • [FCA CF] Client dealing (since 2 Nov 2016)
    • [FCA CF] Material risk taker (2 Nov 2016 to 9 Oct 2022)
    • CF30 Customer (21 Jan 2010 to 6 Mar 2016)
  • Nomura Bank International Plc.

    FRN 204419

    • [FCA CF] Manager of certification employee (since 7 Jul 2019)
    • [FCA CF] Client dealing (since 2 Nov 2016)
    • [FCA CF] Material risk taker (2 Nov 2016 to 9 Oct 2022)
    • CF30 Customer (28 Jan 2013 to 6 Mar 2016)
  • Societe Generale (no longer approved here)

    FRN 124866

    • CF30 Customer (1 Nov 2007 to 19 Oct 2009)
    • CF21 Investment Adviser (26 Sep 2006 to 31 Oct 2007)
  • Deutsche Bank AG (no longer approved here)

    FRN 150018

    • CF21 Investment Adviser (9 Jan 2006 to 20 Jun 2006)
    • CF22 Investment Adviser (Trainee) (21 Jun 2005 to 6 Jan 2006)

Recent activity

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

No changes recorded yet.