Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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EFG Private Bank Limited
FRN 144036
- 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- 4. Giving personal recommendations on retail investment products which are not broker funds
- 8. Giving personal recommendations on investments in the course of corporate finance business
- 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
- [FCA CF] Client dealing (since 19 Nov 2022)
- [FCA CF] Functions requiring qualifications (since 19 Oct 2022)
- [FCA CF] Client dealing (7 Mar 2016 to 16 Dec 2021)
- [FCA CF] Functions requiring qualifications (7 Mar 2016 to 16 Dec 2021)
- CF30 Customer (1 Nov 2007 to 31 Dec 2012)
- CF22 Investment Adviser (Trainee) (21 Aug 2006 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.