Joseph Kiernan Millist

Watch for changes

Where they hold approval

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

Wells Fargo Bank, National Association (no longer approved here)
FRN 456183
- [FCA CF] Significant management (1 Mar 2021 to 21 Mar 2024)
- SMF3 Executive Director (22 Apr 2016 to 10 Dec 2020)
- CF29 Significant management (16 Sep 2015 to 6 Mar 2016)
- CF10a CASS Oversight function (10 Dec 2014 to 6 Mar 2016)
Wells Fargo Securities International Limited (no longer approved here)
FRN 186745
- CF29 Significant management (16 Sep 2015 to 8 Dec 2019)
- CF10a CASS Oversight function (10 Dec 2014 to 8 Dec 2019)

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.