Where they hold approval

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

    • [FCA CF] CASS oversight function (since 17 Nov 2025)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 7 Jun 2021)
    • CF10a CASS Oversight function (15 Aug 2017 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (3 Jan 2017 to 21 Aug 2017)
    • CF1 Director (3 Jan 2017 to 8 Dec 2019)
  • Wells Fargo Securities International Limited (no longer approved here)

    FRN 186745

    • CF29 Significant management (7 Aug 2014 to 7 Jun 2016)

Recent activity

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

No changes recorded yet.