Xavier Richard Thoma

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.

  • BALTHAZAR CAPITAL PARTNERS LTD. (no longer approved here)

    FRN 230038

    • CF30 Customer (1 Nov 2007 to 30 Jun 2011)
    • CF10 Compliance Oversight (26 Feb 2004 to 1 Jun 2010)
    • CF11 Money Laundering Reporting (26 Feb 2004 to 1 Jun 2010)
    • CF1 Director (26 Feb 2004 to 1 Jun 2010)
    • CF3 Chief Executive (26 Feb 2004 to 1 Jun 2010)
    • CF8 Apportionment and Oversight (26 Feb 2004 to 31 Oct 2007)
    • CF21 Investment Adviser (26 Feb 2004 to 31 Oct 2007)

Recent activity

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

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