Stephen O'Brien

Watch for changes

Where they hold approval

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

RBC Europe Limited (no longer approved here)
FRN 124543
- [FCA CF] Client dealing (7 Mar 2017 to 18 Apr 2022)
- CF30 Customer (24 Sep 2012 to 6 Mar 2016)
Royal Bank of Canada (no longer approved here)
FRN 124783
- [FCA CF] Client dealing (7 Mar 2017 to 18 Apr 2022)
- CF30 Customer (24 Sep 2012 to 6 Mar 2016)
Canaccord Genuity Limited (no longer approved here)
FRN 182011
- CF30 Customer (26 Mar 2012 to 6 Jul 2012)
Macquarie Capital (Europe) Limited (no longer approved here)
FRN 193905
- CF30 Customer (1 Dec 2009 to 3 Dec 2009)
CLEARBRIDGE INVESTMENT MANAGEMENT LIMITED (no longer approved here)
FRN 119289
- CF26 Customer Trading (24 Jan 2005 to 29 Dec 2006)
J.P. Morgan Markets Limited (no longer approved here)
FRN 114031
- CF21 Investment Adviser (30 May 2002 to 14 Jan 2004)

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.