Brett Richard Ball

Watch for changes

Where they hold approval

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

Wealthtime Limited
FRN 468461
- [FCA CF] CASS oversight function (since 19 Oct 2023)
- [FCA CF] Significant management (25 Oct 2023 to 16 Jan 2024)
Novia Financial Plc
FRN 481600
- [FCA CF] CASS oversight function (since 19 Oct 2023)
- [FCA CF] Significant management (19 Oct 2023 to 20 Oct 2023)
Quilter Investment Platform Limited (no longer approved here)
FRN 165359
- [FCA CF] Manager of certification employee (9 Dec 2019 to 1 Jun 2021)

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.