Simon Alexander Ball

Watch for changes

Where they hold approval

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

Wells Fargo Securities International Limited
FRN 186745
- [FCA CF] Client dealing (since 27 Oct 2025)
Lloyds Bank Corporate Markets Plc (no longer approved here)
FRN 763256
- [FCA CF] Manager of certification employee (1 Oct 2024 to 1 Aug 2025)
- [FCA CF] Client dealing (1 Aug 2017 to 1 Aug 2025)
Lloyds Bank PLC (no longer approved here)
FRN 119278
- CF30 Customer (15 Sep 2015 to 6 Mar 2016)
Bank of Scotland plc (no longer approved here)
FRN 169628
- CF30 Customer (15 Sep 2015 to 6 Mar 2016)
NatWest Markets Plc (no longer approved here)
FRN 121882
- CF30 Customer (26 Nov 2008 to 2 Jun 2015)

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.