Kulvinder Singh Samra

Watch for changes

Where they hold approval

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

St. James's Place Wealth Management Plc (no longer approved here)
FRN 195351
- CF30 Customer (2 May 2023 to 25 May 2023)
Altair Financial Planning Ltd (no longer approved here)
FRN 654449
- (1)Employed By (2 May 2023 to 25 May 2023)
CHARLES SCHWAB, U.K., LIMITED (no longer approved here)
FRN 225116
- CF10a CASS Oversight function (27 Jun 2017 to 28 Feb 2018)
- CF1 Director (1 Oct 2014 to 18 Apr 2019)
Wells Fargo Securities International Limited (no longer approved here)
FRN 186745
- CF21 Investment Adviser (18 May 2004 to 25 Oct 2004)
Stifel Nicolaus Europe Limited (no longer approved here)
FRN 190412
- CF21 Investment Adviser (1 Dec 2001 to 31 May 2003)

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.