Joseph Wallis

Watch for changes

Where they hold approval

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

Succession Financial Management Limited
FRN 225831
- [FCA CF] Manager of certification employee (since 25 Jun 2025)
SUCCESSION WEALTH MANAGEMENT LIMITED
FRN 588378
- [FCA CF] Manager of certification employee (since 25 Jun 2025)
Succession Employee Benefit Solutions Limited
FRN 767956
- [FCA CF] Manager of certification employee (since 25 Jun 2025)
Scottish Widows Schroder Personal Wealth Limited (no longer approved here)
FRN 830170
- [FCA CF] Functions requiring qualifications (25 Apr 2022 to 1 Feb 2024)
- [FCA CF] Manager of certification employee (25 Apr 2022 to 1 Feb 2024)
HSBC UK Bank Plc (no longer approved here)
FRN 765112
- [FCA CF] Manager of certification employee (1 Jul 2018 to 7 Aug 2019)
HSBC Bank Plc (no longer approved here)
FRN 114216
- [FCA CF] Manager of certification employee (27 Jul 2016 to 1 Jul 2018)

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.