Maxwell Underhill

Watch for changes

Where they hold approval

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

Forte Securities Limited
FRN 478424
- [FCA CF] Client dealing (since 9 Dec 2019)
- [FCA CF] Manager of certification employee (since 9 Dec 2019)
- CF30 Customer (17 Jul 2012 to 6 Sep 2022)
TIDE CM LLP (no longer approved here)
FRN 576869
- Employed By (17 Jul 2012 to 6 Sep 2022)
Eiger Securities LLP (no longer approved here)
FRN 228827
- CF30 Customer (10 Mar 2009 to 25 Aug 2009)

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.