Sean Emmet O'Brien

Watch for changes

Where they hold approval

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

KNG Securities LLP
FRN 402459
- [FCA CF] Client dealing (since 11 Mar 2024)
BTIG Limited (no longer approved here)
FRN 484589
- [FCA CF] Client dealing (19 Jan 2021 to 1 Dec 2023)
JEFFERIES INTERNATIONAL LIMITED (no longer approved here)
FRN 139253
- CF30 Customer (1 Nov 2007 to 8 Dec 2019)
- CF21 Investment Adviser (24 Jan 2005 to 31 Oct 2007)
Novate Global Markets Limited (no longer approved here)
FRN 124624
- (274)CF21 Investment Adviser (10 Feb 2003 to 23 Dec 2004)
Barclays Capital Securities Limited (no longer approved here)
FRN 124431
- CF21 Investment Adviser (1 Dec 2001 to 10 Jan 2003)

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

1 day ago
controlled function added: (274)CF21 Investment Adviser at Novate Global Markets Limited

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.