Dennis Wallestad

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Where they hold approval

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

PERSHING SECURITIES LIMITED
FRN 146576
- SMF1 Chief Executive (since 14 Dec 2023)
- SMF3 Executive Director (since 21 Sep 2023)
- SMF2 Chief Finance (11 Jul 2023 to 19 Oct 2023)
J.P. Morgan Markets Limited (no longer approved here)
FRN 114031
- CF29 Significant management (11 Mar 2013 to 18 Feb 2014)
JPMorgan Chase Bank, National Association (no longer approved here)
FRN 124491
- CF29 Significant management (11 Mar 2013 to 18 Feb 2014)
J.P. Morgan Europe Limited (no longer approved here)
FRN 124579
- CF29 Significant management (11 Mar 2013 to 18 Feb 2014)
J.P. Morgan Securities plc (no longer approved here)
FRN 155240
- CF1 Director (11 Mar 2013 to 18 Feb 2014)
- CF29 Significant management (20 Dec 2012 to 5 Mar 2013)
Rooftop Mortgages Limited (no longer approved here)
FRN 303059
- CF29 Significant management (11 Mar 2013 to 18 Feb 2014)

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.