Thomas Robert Wicks

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.

  • LGT Wealth Management UK LLP (no longer approved here)

    FRN 471048

    • [FCA CF] Client dealing (1 Feb 2020 to 27 Aug 2021)
    • [FCA CF] Manager of certification employee (1 Feb 2020 to 27 Aug 2021)
    • [FCA CF] Functions requiring qualifications (1 Feb 2020 to 27 Aug 2021)
    • CF30 Customer (26 Jan 2015 to 8 Dec 2019)
  • Julius Baer International Limited (no longer approved here)

    FRN 139179

    • CF30 Customer (20 Jun 2014 to 9 Dec 2014)
  • Nuveen Management AIFM Limited (no longer approved here)

    FRN 194149

    • CF30 Customer (1 Nov 2007 to 30 Apr 2009)
    • CF27 Investment Management (6 Mar 2007 to 31 Oct 2007)
  • HSBC Global Asset Management (UK) Limited (no longer approved here)

    FRN 122335

    • CF27 Investment Management (31 Mar 2004 to 24 Nov 2006)

Recent activity

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

No changes recorded yet.