Charles Elliott

Watch for changes

Where they hold approval

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

Wells Fargo Securities International Limited
FRN 186745
- SMF24 Chief Operations (since 22 Aug 2024)
Wells Fargo Bank, National Association
FRN 456183
- SMF24 Chief Operations (since 22 Aug 2024)
State Street Bank and Trust Company (no longer approved here)
FRN 170462
- SMF24 Chief Operations (28 Oct 2022 to 4 Aug 2023)
- [FCA CF] Material risk taker (8 Mar 2021 to 8 Nov 2022)

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.