Dominic Laurence Carden Wallis

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Where they hold approval

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

Stephens Europe Limited
FRN 706671
- [FCA CF] Client dealing (since 9 Dec 2019)
- CF30 Customer (22 Apr 2016 to 8 Dec 2019)
Talbot Capital Ltd (no longer approved here)
FRN 489839
- CF30 Customer (9 Jun 2014 to 21 Apr 2016)
Canaccord Genuity Limited (no longer approved here)
FRN 182011
- CF30 Customer (14 Nov 2012 to 14 Mar 2014)
N. M. ROTHSCHILD & SONS LIMITED (no longer approved here)
FRN 124451
- CF23 Corporate Finance Adviser (1 Dec 2001 to 22 Sep 2007)

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.