David Augustin Mengisen

Watch for changes

Where they hold approval

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

The Toronto-Dominion Bank
FRN 124859
- [FCA CF] Client dealing (since 25 Sep 2017)
Novate Global Markets Limited (no longer approved here)
FRN 124624
- (260)CF30 Customer (19 Mar 2015 to 21 Aug 2017)
Raymond James Financial International Limited (no longer approved here)
FRN 188244
- CF30 Customer (14 Jan 2013 to 30 Jan 2015)
TFS Derivatives Limited (no longer approved here)
FRN 197244
- CF30 Customer (16 Sep 2008 to 28 Jun 2010)
Barclays Capital Securities Limited (no longer approved here)
FRN 124431
- CF30 Customer (1 Nov 2007 to 27 Jun 2008)
- CF21 Investment Adviser (5 Dec 2006 to 31 Oct 2007)

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

1 day ago
controlled function added: (260)CF30 Customer at Novate Global Markets 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.