James Patrick O'Neill

Watch for changes

Where they hold approval

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

Wells Fargo Bank, National Association
FRN 456183
- SMF3 Executive Director (since 27 Feb 2026)
- SMF22 Other Local Responsibility (since 21 Dec 2022)
- [FCA CF] Material risk taker (8 Sep 2020 to 14 Mar 2024)
Wells Fargo Securities International Limited
FRN 186745
- SMF1 Chief Executive (since 26 Apr 2022)
- [FCA CF] Material risk taker (9 Aug 2020 to 14 Mar 2024)
Allspring Global Investments (UK) Limited (no longer approved here)
FRN 190608
- [FCA CF] Material risk taker (1 Mar 2021 to 1 Nov 2021)

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.