Dominic Vincent Emery

Watch for changes

Where they hold approval

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

Guggenheim Securities International Ltd
FRN 485435
- [FCA CF] Client dealing (since 15 Aug 2025)
- [FCA CF] Manager of certification employee (since 15 Aug 2025)
William Blair International, Ltd (no longer approved here)
FRN 189068
- [FCA CF] Client dealing (3 Oct 2022 to 16 Jun 2025)
Raymond James Financial International Limited (no longer approved here)
FRN 188244
- [FCA CF] Client dealing (9 Dec 2019 to 30 Jun 2022)
- CF30 Customer (12 Feb 2018 to 8 Dec 2019)
Investec Bank PLC (no longer approved here)
FRN 172330
- CF30 Customer (29 Sep 2008 to 6 Mar 2016)

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.