Where they hold approval

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

    • 17. Administrative functions in relation to managing investments
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 14. Managing investments
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 4 Mar 2025)
    • [FCA CF] Material risk taker (since 4 Mar 2025)
    • [FCA CF] Functions requiring qualifications (since 4 Mar 2025)
  • Union Bancaire Privee, UBP SA (no longer approved here)

    FRN 147562

    • [FCA CF] Manager of certification employee (9 Aug 2021 to 27 Sep 2024)
    • [FCA CF] Material risk taker (20 Jul 2020 to 27 Sep 2024)
    • [FCA CF] Client dealing (20 Jul 2020 to 27 Sep 2024)
    • [FCA CF] Functions requiring qualifications (20 Jul 2020 to 27 Feb 2024)
    • [PRA CF] Significant risk taker or Material risk taker (20 Jul 2020 to 27 Feb 2024)
  • JEFFERIES INTERNATIONAL LIMITED (no longer approved here)

    FRN 139253

    • CF30 Customer (19 Oct 2009 to 8 Dec 2019)
  • Credit Suisse (UK) Limited (no longer approved here)

    FRN 124269

    • CF30 Customer (1 Nov 2007 to 2 Oct 2009)
    • CF21 Investment Adviser (30 Mar 2006 to 31 Oct 2007)
  • CREDIT SUISSE INTERNATIONAL (no longer approved here)

    FRN 146702

    • CF30 Customer (1 Nov 2007 to 11 Dec 2008)
    • CF21 Investment Adviser (12 Jun 2002 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.