Dominic Brindle

Watch for changes

Where they hold approval

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

Gallardo Securities Limited
FRN 724231
- SMF3 Executive Director (since 27 Feb 2021)
- SMF16 Compliance Oversight (5 Mar 2020 to 15 Apr 2026)
- SMF17 Money Laundering Reporting Officer (MLRO) (5 Mar 2020 to 15 Apr 2026)
- CF30 Customer (16 Nov 2017 to 8 Dec 2019)
Forte Securities Limited (no longer approved here)
FRN 478424
- [FCA CF] Client dealing (9 Dec 2019 to 6 Mar 2026)
BGC Brokers L.P (no longer approved here)
FRN 454814
- CF30 Customer (18 Feb 2009 to 1 May 2017)

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.