Robert Alexander Waverley Ballantine

Watch for changes

Where they hold approval

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

Robert W. Baird Limited
FRN 124308
- [FCA CF] Client dealing (since 9 Dec 2019)
- [FCA CF] Manager of certification employee (16 Mar 2024 to 3 Nov 2025)
- CF30 Customer (24 Sep 2013 to 8 Dec 2019)
Canaccord Genuity Limited (no longer approved here)
FRN 182011
- CF30 Customer (19 Dec 2012 to 3 Sep 2013)
ING Bank N.V. (no longer approved here)
FRN 124940
- CF30 Customer (1 Nov 2007 to 21 Jul 2010)
- CF23 Corporate Finance Adviser (22 Jan 2007 to 31 Oct 2007)

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.