Thomas David Cumming

Last updated
2 weeks ago
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Where they hold approval

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

  • Bell Potter Securities (UK) Limited (no longer approved here)

    FRN 485226

    • CF1 Director (27 Jan 2009 to 31 May 2011)
    • CF10 Compliance Oversight (27 Jan 2009 to 18 Apr 2019)
    • CF11 Money Laundering Reporting (27 Jan 2009 to 18 Apr 2019)
    • CF3 Chief Executive (27 Jan 2009 to 31 May 2011)
    • CF30 Customer (27 Jan 2009 to 18 Apr 2019)
  • Citigroup Global Markets Limited (no longer approved here)

    FRN 124384

    • CF21 Investment Adviser (1 Dec 2001 to 25 Mar 2003)

Recent activity

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

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