William Mark Brodie

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.

  • Citigroup Global Markets Limited (no longer approved here)

    FRN 124384

    • [FCA CF] Client dealing (29 Sep 2021 to 26 Oct 2023)
    • [FCA CF] Material risk taker (27 Sep 2021 to 26 Oct 2023)
    • [PRA CF] Significant risk taker or Material risk taker (27 Sep 2021 to 26 Oct 2023)
  • BTIG Limited (no longer approved here)

    FRN 484589

    • [FCA CF] Client dealing (9 Dec 2019 to 25 Jun 2021)
    • CF30 Customer (1 Nov 2019 to 8 Dec 2019)
  • Mariana UFP LLP (no longer approved here)

    FRN 551170

    • CF30 Customer (24 Feb 2018 to 2 May 2019)
  • JEFFERIES INTERNATIONAL LIMITED (no longer approved here)

    FRN 139253

    • CF30 Customer (15 Jan 2010 to 14 Mar 2013)
  • JPMorgan Chase Bank, National Association (no longer approved here)

    FRN 124491

    • CF30 Customer (2 Jun 2008 to 15 Mar 2009)
  • J.P. Morgan Securities plc (no longer approved here)

    FRN 155240

    • CF30 Customer (2 Jun 2008 to 15 Mar 2009)
  • J.P. Morgan Markets Limited (no longer approved here)

    FRN 114031

    • CF30 Customer (1 Nov 2007 to 15 Mar 2009)
    • 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.