Thomas Francis Dowling

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.

  • UBS AG

    FRN 186958

    • [FCA CF] Client dealing (since 3 Dec 2021)
  • Foster Denovo Limited (no longer approved here)

    FRN 462728

    • CF30 Customer (1 Nov 2007 to 26 Mar 2010)
    • CF21 Investment Adviser (26 Jul 2007 to 31 Oct 2007)
  • CFT Financials Ltd (no longer approved here)

    FRN 446481

    • CF10 Compliance Oversight (1 Jun 2006 to 1 Jun 2009)
    • CF1 Director (1 Jun 2006 to 3 Mar 2010)
    • CF11 Money Laundering Reporting (1 Jun 2006 to 1 Jun 2009)
  • TenetConnect Limited (no longer approved here)

    FRN 149826

    • CF21 Investment Adviser (20 Apr 2006 to 6 Aug 2007)
  • Sinfonia Direct Ltd (no longer approved here)

    FRN 440606

    • Employed By (20 Apr 2006 to 6 Aug 2007)

Recent activity

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

No changes recorded yet.