Johan Ulrich Rode

Watch for changes

Where they hold approval

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

Little Square Capital Limited
FRN 942894
- SMF3 Executive Director (since 8 Sep 2021)
- SMF16 Compliance Oversight (since 8 Sep 2021)
- SMF17 Money Laundering Reporting Officer (MLRO) (since 8 Sep 2021)
Wimmer Financial LLP (no longer approved here)
FRN 478796
- Employed By (20 Jan 2018 to 1 Nov 2018)
Wimmer Family Office Ltd (no longer approved here)
FRN 665654
- CF30 Customer (20 Jan 2018 to 1 Nov 2018)
Barclays Capital Securities Limited (no longer approved here)
FRN 124431
- CF30 Customer (31 Aug 2010 to 6 Mar 2016)
Citigroup Global Markets Limited (no longer approved here)
FRN 124384
- CF30 Customer (13 Nov 2007 to 21 May 2010)
Deutsche Bank AG (no longer approved here)
FRN 150018
- CF21 Investment Adviser (23 Jun 2005 to 30 Aug 2007)

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.