John Arthur Halsall

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Where they hold approval

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

THROGMORTON PRIVATE CAPITAL LIMITED (no longer approved here)
FRN 431157
- CF30 Customer (23 Feb 2012 to 1 Oct 2015)
RLUM Limited (no longer approved here)
FRN 144032
- CF21 Investment Adviser (9 Jun 2003 to 15 May 2007)
- CF22 Investment Adviser (Trainee) (22 Apr 2003 to 9 Jun 2003)
Exel Independent Financial Advisers (no longer approved here)
FRN 194650
- (2)Employed By (30 Aug 2001 to 12 Mar 2003)

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.