Thomas Etherton

Last updated
1 week ago
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Where they hold approval

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

  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • [PRA CF] Significant risk taker or Material risk taker (14 Aug 2020 to 9 Sep 2021)
    • [FCA CF] Manager of certification employee (26 Sep 2019 to 4 Mar 2022)
    • [FCA CF] Client dealing (20 Aug 2019 to 21 Mar 2022)
    • CF21 Investment Adviser (30 Nov 2002 to 22 Feb 2006)
  • HSBC UK Bank Plc (no longer approved here)

    FRN 765112

    • [PRA CF] Significant risk taker or Material risk taker (14 Aug 2020 to 9 Sep 2021)
  • Deutsche Bank AG (no longer approved here)

    FRN 150018

    • [FCA CF] Manager of certification employee (18 Oct 2018 to 29 Apr 2019)
    • [FCA CF] Client dealing (8 May 2018 to 29 Apr 2019)
    • CF30 Customer (27 May 2008 to 6 Mar 2016)
  • CREDIT SUISSE INTERNATIONAL (no longer approved here)

    FRN 146702

    • CF30 Customer (1 Nov 2007 to 26 Feb 2008)
    • CF21 Investment Adviser (27 Mar 2006 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.