Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Wells Fargo Securities International Limited
FRN 186745
- [FCA CF] Client dealing (since 27 Jan 2025)
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- [FCA CF] Manager of certification employee (20 Jul 2021 to 21 Jul 2021)
- [FCA CF] Material risk taker (20 Jul 2021 to 15 Nov 2022)
- [PRA CF] Significant risk taker or Material risk taker (20 Jul 2021 to 15 Nov 2022)
- [FCA CF] Client dealing (7 Mar 2016 to 15 Nov 2022)
- CF30 Customer (22 Sep 2011 to 6 Mar 2016)
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- [FCA CF] Manager of certification employee (20 Jul 2021 to 21 Jul 2021)
- [FCA CF] Material risk taker (20 Jul 2021 to 15 Nov 2022)
- [PRA CF] Significant risk taker or Material risk taker (20 Jul 2021 to 15 Nov 2022)
- [FCA CF] Client dealing (7 Mar 2016 to 15 Nov 2022)
- CF30 Customer (22 Sep 2011 to 6 Mar 2016)
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- [PRA CF] Significant risk taker or Material risk taker (20 Jul 2021 to 15 Nov 2022)
- [FCA CF] Manager of certification employee (20 Jul 2021 to 21 Jul 2021)
- [FCA CF] Material risk taker (20 Jul 2021 to 15 Nov 2022)
- [FCA CF] Client dealing (7 Mar 2016 to 15 Nov 2022)
- CF30 Customer (1 Jan 2016 to 6 Mar 2016)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.