Frank Edward Rumpeltin III

Watch for changes

Where they hold approval

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

The Toronto-Dominion Bank (no longer approved here)
FRN 124859
- [FCA CF] Client dealing (7 Mar 2016 to 15 Oct 2021)
- CF30 Customer (4 Jun 2015 to 6 Mar 2016)
Standard Chartered Bank (no longer approved here)
FRN 114276
- CF30 Customer (6 Oct 2010 to 9 Jul 2014)
Nomura International Plc (no longer approved here)
FRN 124422
- CF30 Customer (22 Sep 2009 to 7 Sep 2010)
Morgan Stanley & Co. International Plc (no longer approved here)
FRN 165935
- CF30 Customer (30 Jan 2008 to 17 Jun 2009)

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.