Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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The Bank of New York Mellon
FRN 122467
- SMF22 Other Local Responsibility (since 27 Mar 2026)
- [FCA CF] Manager of certification employee (9 Jan 2025 to 27 Mar 2026)
- [FCA CF] Significant management (18 Oct 2024 to 24 Nov 2025)
- [FCA CF] CASS oversight function (15 Sep 2023 to 27 Mar 2026)
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PERSHING SECURITIES LIMITED
FRN 146576
- SMF18 Other Overall Responsibility (since 27 Mar 2026)
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- SMF18 Other Overall Responsibility (since 27 Mar 2026)
- [FCA CF] Manager of certification employee (9 Jan 2025 to 27 Mar 2026)
- [FCA CF] Significant management (18 Oct 2024 to 24 Nov 2025)
- [FCA CF] CASS oversight function (15 Sep 2023 to 27 Mar 2026)
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- SMF27 Partner (19 Jul 2022 to 10 Mar 2023)
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- [FCA CF] Significant management (9 Dec 2019 to 22 Sep 2021)
- CF4 Partner (22 Feb 2010 to 6 Dec 2019)
- CF29 Significant management (1 Nov 2007 to 27 Apr 2012)
- CF20 Significant Mgt (Settlements) (2 Jan 2007 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.