THOMAS PETER BATY Rider

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.

  • BMO Capital Markets Limited

    FRN 170937

    • [FCA CF] Client dealing (since 1 Jun 2020)
    • [FCA CF] Material risk taker (since 1 Jun 2020)
    • CF30 Customer (8 Jul 2013 to 8 Dec 2019)
  • JEFFERIES INTERNATIONAL LIMITED (no longer approved here)

    FRN 139253

    • CF30 Customer (7 Sep 2010 to 14 May 2013)
  • PIPER SANDLER LTD. (no longer approved here)

    FRN 191657

    • CF30 Customer (1 Nov 2007 to 2 Jun 2010)
    • CF23 Corporate Finance Adviser (10 Nov 2006 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.