Blake Johnson Omlie

Watch for changes

Where they hold approval

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

Guggenheim Securities International Ltd (no longer approved here)
FRN 485435
- CF10 Compliance Oversight (7 Oct 2008 to 23 Aug 2011)
- CF3 Chief Executive (7 Oct 2008 to 23 Aug 2011)
- CF30 Customer (7 Oct 2008 to 23 Aug 2011)
- CF1 Director (7 Oct 2008 to 23 Aug 2011)
- CF11 Money Laundering Reporting (7 Oct 2008 to 23 Aug 2011)
PIPER SANDLER LTD. (no longer approved here)
FRN 191657
- CF21 Investment Adviser (1 Dec 2001 to 14 Jul 2005)
- CF1 Director (1 Dec 2001 to 5 Aug 2003)

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.