Steve Broughton

Watch for changes

Where they hold approval

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

GFI Securities Limited
FRN 184801
- [FCA CF] Client dealing (since 4 Oct 2025)
BGC Brokers L.P (no longer approved here)
FRN 454814
- [FCA CF] Client dealing (9 Dec 2019 to 3 Oct 2025)
- CF30 Customer (16 Jul 2019 to 8 Dec 2019)
Tradition (UK) Limited (no longer approved here)
FRN 139200
- CF30 Customer (17 Aug 2009 to 5 Apr 2019)
TP ICAP Broking Limited (no longer approved here)
FRN 154234
- CF26 Customer Trading (1 Dec 2001 to 28 Mar 2003)

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.