Jimmy Gupta

Watch for changes

Where they hold approval

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

Wells Fargo Securities International Limited
FRN 186745
- [FCA CF] Client dealing (since 6 Jun 2024)
- [FCA CF] Material risk taker (6 Jun 2024 to 4 Mar 2025)
Wells Fargo Bank, National Association
FRN 456183
- [FCA CF] Client dealing (since 6 Jun 2024)
Morgan Stanley & Co. International Plc (no longer approved here)
FRN 165935
- [FCA CF] Material risk taker (18 Oct 2021 to 30 May 2024)
- [FCA CF] Manager of certification employee (7 Sep 2016 to 30 May 2024)
- [FCA CF] Client dealing (7 Sep 2016 to 30 May 2024)
- CF30 Customer (12 Sep 2012 to 6 Mar 2016)
Morgan Stanley Bank International Limited (no longer approved here)
FRN 195430
- [FCA CF] Material risk taker (18 Oct 2021 to 30 May 2024)
- [FCA CF] Manager of certification employee (7 Sep 2016 to 30 May 2024)
- [FCA CF] Client dealing (7 Sep 2016 to 30 May 2024)

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.