Harold Rodrigue Brun

Watch for changes

Where they hold approval

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

Raymond James Financial International Limited
FRN 188244
- [FCA CF] Client dealing (since 9 Dec 2019)
- CF30 Customer (15 May 2019 to 8 Dec 2019)
Gleacher Shacklock LLP (no longer approved here)
FRN 211989
- CF30 Customer (1 Aug 2016 to 1 May 2018)
- CF4 Partner (1 Aug 2016 to 1 May 2018)
Wells Fargo Securities International Limited (no longer approved here)
FRN 186745
- CF30 Customer (28 Apr 2014 to 5 Jul 2016)
HSBC Bank Plc (no longer approved here)
FRN 114216
- CF21 Investment Adviser (24 Jan 2005 to 16 Feb 2006)

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.