Thomas Dennis Lawler

Watch for changes

Where they hold approval

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

St. James's Place Wealth Management Plc
FRN 195351
- 4. Giving personal recommendations on retail investment products which are not broker funds
- Appointed representative dealing with clients for which they require qualification (since 3 Mar 2025)
- CF30 Customer (since 5 Feb 2025)
Clearwater Wealth Management
FRN 401714
- Employed By (since 5 Feb 2025)
BERNSTEIN AUTONOMOUS LLP (no longer approved here)
FRN 500498
- [FCA CF] Client dealing (10 Mar 2023 to 29 Mar 2024)
BGC Brokers L.P (no longer approved here)
FRN 454814
- [FCA CF] Client dealing (1 Mar 2021 to 16 Jun 2021)

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.