Allan Nicholas Broad

Watch for changes

Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

CRESTA CAPITAL LIMITED
FRN 414856
- [FCA CF] Client dealing (since 9 Dec 2019)
- CF30 Customer (4 Sep 2017 to 8 Dec 2019)
Stifel Nicolaus Europe Limited (no longer approved here)
FRN 190412
- CF30 Customer (3 Feb 2015 to 27 Apr 2016)
HSBC Bank Plc (no longer approved here)
FRN 114216
- CF30 Customer (16 Sep 2008 to 4 Apr 2014)
J.P. Morgan Markets Limited (no longer approved here)
FRN 114031
- CF30 Customer (1 Nov 2007 to 2 May 2008)
- CF21 Investment Adviser (19 Dec 2001 to 31 Oct 2007)

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

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.