Jonathan David Tricker

Watch for changes

Where they hold approval

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

VANGUARD ASSET MANAGEMENT, LTD.
FRN 527839
- [FCA CF] Client dealing (since 21 Dec 2020)
- CF30 Customer (20 Jan 2014 to 8 Dec 2019)
Janus Henderson Investors UK Limited (no longer approved here)
FRN 121857
- CF30 Customer (1 Jul 2010 to 11 Oct 2013)
Janus Henderson Fund Management UK Limited (no longer approved here)
FRN 121859
- CF30 Customer (1 Jul 2010 to 11 Oct 2013)
Nuveen Management AIFM Limited (no longer approved here)
FRN 194149
- CF30 Customer (1 Jul 2010 to 10 Jun 2013)
LEGAL & GENERAL INVESTMENT MANAGEMENT LIMITED (no longer approved here)
FRN 119272
- CF30 Customer (1 Nov 2007 to 30 Jun 2010)
- CF26 Customer Trading (8 Feb 2007 to 31 Oct 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.