Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Bank of America, N.A.
FRN 124642
- [FCA CF] Significant management (since 25 Mar 2020)
- [FCA CF] Material risk taker (since 12 Feb 2019)
- [FCA CF] Manager of certification employee (since 11 Oct 2018)
- [FCA CF] Client dealing (11 Oct 2018 to 13 Sep 2021)
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Merrill Lynch International
FRN 147150
- [FCA CF] Material risk taker (since 12 Feb 2019)
- [FCA CF] Client dealing (since 11 Oct 2018)
- [FCA CF] Manager of certification employee (since 11 Oct 2018)
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- CF30 Customer (1 Nov 2007 to 31 Dec 2012)
- CF21 Investment Adviser (5 Aug 2003 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.