Thomas Bernard Warwick

Watch for changes

Where they hold approval

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

Stag Securities Ltd
FRN 927419
- [FCA CF] Client dealing (since 18 Apr 2023)
TRADITION FINANCIAL SERVICES LTD. (no longer approved here)
FRN 147543
- [FCA CF] Client dealing (17 Dec 2020 to 31 Mar 2023)
- CF30 Customer (12 Aug 2013 to 8 Dec 2019)
TFS Derivatives Limited (no longer approved here)
FRN 197244
- [FCA CF] Client dealing (17 Dec 2020 to 31 Mar 2023)
- CF30 Customer (12 Aug 2013 to 8 Dec 2019)
JB Drax Honore (UK) Limited (no longer approved here)
FRN 585303
- CF30 Customer (3 Dec 2012 to 4 Apr 2013)

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.