Kevin Broughton

Last updated
2 weeks ago
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Where they hold approval

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

  • Wells Fargo Securities International Limited

    FRN 186745

    • [FCA CF] Client dealing (since 30 Nov 2022)
    • [FCA CF] Algorithmic trading (since 30 Nov 2022)
  • Wells Fargo Bank, National Association

    FRN 456183

    • [FCA CF] Client dealing (since 30 Nov 2022)
    • [FCA CF] Algorithmic trading (since 30 Nov 2022)
  • Mizuho International plc (no longer approved here)

    FRN 119256

    • [FCA CF] Client dealing (11 May 2021 to 21 Jun 2022)
    • [FCA CF] Manager of certification employee (11 May 2021 to 21 Jun 2022)
  • RBC Europe Limited (no longer approved here)

    FRN 124543

    • [FCA CF] Manager of certification employee (15 Mar 2019 to 15 Jun 2019)
    • [FCA CF] Client dealing (13 Dec 2016 to 6 Jun 2020)
    • [FCA CF] Material risk taker (13 Dec 2016 to 6 Jun 2020)
  • Royal Bank of Canada (no longer approved here)

    FRN 124783

    • [FCA CF] Manager of certification employee (15 Mar 2019 to 15 Jun 2019)
    • [FCA CF] Material risk taker (13 Dec 2016 to 6 Jun 2020)
    • [FCA CF] Client dealing (13 Dec 2016 to 6 Jun 2020)
  • The Bank of Nova Scotia (no longer approved here)

    FRN 141308

    • CF30 Customer (7 Mar 2014 to 6 Mar 2016)
  • The Toronto-Dominion Bank (no longer approved here)

    FRN 124859

    • CF30 Customer (20 Jun 2012 to 28 Jan 2014)
  • Morgan Stanley & Co. International Plc (no longer approved here)

    FRN 165935

    • CF30 Customer (3 Mar 2010 to 10 Apr 2012)

Recent activity

Updates to this individual's record on the FCA register.

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