Bradley Richard Waring

Watch for changes

Where they hold approval

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

James Brearley & Sons Limited
FRN 189219
- 14. Managing investments
- [FCA CF] Client dealing (since 9 Dec 2019)
- [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
- CF30 Customer (8 May 2012 to 8 Dec 2019)
CANACCORD GENUITY ASSET MANAGEMENT LIMITED (no longer approved here)
FRN 209741
- CF30 Customer (16 Jul 2009 to 8 Mar 2012)
- CF26 Customer Trading (15 Aug 2002 to 15 Aug 2002)
- CF21 Investment Adviser (13 Aug 2002 to 15 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.