Joseph Dore

Watch for changes

Where they hold approval

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

Allspring Global Investments (UK) Limited
FRN 190608
- [FCA CF] Client dealing (since 9 Dec 2019)
- [FCA CF] Manager of certification employee (since 9 Dec 2019)
- CF30 Customer (19 Dec 2011 to 7 Jan 2014)
Wells Fargo Securities International Limited (no longer approved here)
FRN 186745
- CF30 Customer (18 Sep 2013 to 8 Apr 2019)
Tate Consultancy Limited (no longer approved here)
FRN 521678
- CF30 Customer (7 Sep 2010 to 15 Mar 2013)

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.