Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Wells Fargo Securities International Limited
FRN 186745
- [FCA CF] Manager of certification employee (since 1 Mar 2023)
- [FCA CF] Client dealing (since 23 Feb 2022)
- [FCA CF] Material risk taker (since 23 Feb 2022)
- [FCA CF] Algorithmic trading (since 23 Feb 2022)
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Wells Fargo Bank, National Association
FRN 456183
- [FCA CF] Manager of certification employee (since 1 Mar 2023)
- [FCA CF] Algorithmic trading (since 23 Feb 2022)
- [FCA CF] Client dealing (since 23 Feb 2022)
- [FCA CF] Material risk taker (23 Feb 2022 to 20 May 2022)
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- CF30 Customer (8 Aug 2013 to 6 Mar 2016)
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- CF30 Customer (1 Nov 2007 to 28 Nov 2011)
- CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.