Walter A Gubert

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.

  • J.P. Morgan Securities plc (no longer approved here)

    FRN 155240

    • [FCA CF] Client dealing (27 Jun 2017 to 31 Mar 2020)
    • [FCA CF] Material risk taker (27 Jun 2017 to 31 Mar 2020)
    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF8 Apportionment and Oversight (7 Oct 2003 to 4 Jan 2005)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF7 Sole Trader (AR) (1 Dec 2001 to 15 Feb 2002)
  • JPMorgan Chase Bank, National Association (no longer approved here)

    FRN 124491

    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF8 Apportionment and Oversight (7 Oct 2003 to 4 Jan 2005)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF3 Chief Executive (1 Dec 2001 to 15 Feb 2002)
    • CF16 Significant Mgt (Desgntd Investment Business) (1 Dec 2001 to 7 Oct 2003)
  • J.P. Morgan Europe Limited (no longer approved here)

    FRN 124579

    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.