Charles Sims, Jr Farr

Watch for changes

Where they hold approval

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

VSA Capital Limited (no longer approved here)
FRN 158790
- CF30 Customer (13 Feb 2012 to 14 Jan 2015)
RFC AMBRIAN LIMITED (no longer approved here)
FRN 209819
- CF30 Customer (16 Sep 2010 to 17 Jan 2012)
STIFEL EUROPE LIMITED (no longer approved here)
FRN 178733
- (33)CF30 Customer (1 Nov 2007 to 7 Dec 2007)
- (34)CF21 Investment Adviser (12 May 2006 to 31 Oct 2007)
PIPER SANDLER LTD. (no longer approved here)
FRN 191657
- CF21 Investment Adviser (27 Oct 2003 to 14 Mar 2005)
Morgan Stanley & Co. International Plc (no longer approved here)
FRN 165935
- CF21 Investment Adviser (1 Dec 2001 to 28 Jan 2003)

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

1 day ago
controlled function added: (33)CF30 Customer at STIFEL EUROPE LIMITED
1 day ago
controlled function added: (34)CF21 Investment Adviser at STIFEL EUROPE LIMITED

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.