Terry Ballard

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.

  • SMBC Bank International plc

    FRN 223304

    • [FCA CF] Client dealing (since 23 Sep 2024)
    • [FCA CF] Manager of certification employee (since 23 Sep 2024)
  • SMBC Nikko Capital Markets Limited

    FRN 171935

    • [FCA CF] Manager of certification employee (since 14 Sep 2021)
    • [FCA CF] Client dealing (since 14 Sep 2021)
    • [FCA CF] Material risk taker (14 Sep 2021 to 7 Mar 2023)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • [FCA CF] Client dealing (13 Oct 2016 to 6 May 2021)
    • CF30 Customer (30 Jul 2009 to 6 Mar 2016)
  • National Australia Bank Limited (no longer approved here)

    FRN 141309

    • CF26 Customer Trading (21 Oct 2002 to 24 May 2007)

Recent activity

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

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