Thomas Sermon

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 1 Mar 2026)
- [FCA CF] Material risk taker (since 7 Mar 2016)
- [FCA CF] Material risk taker (3 Jan 2021 to 31 Mar 2025)
Wells Fargo Bank, National Association (no longer approved here)
FRN 456183
- [FCA CF] Material risk taker (1 Mar 2026 to 2 Mar 2026)
Allspring Global Investments (UK) Limited (no longer approved here)
FRN 190608
- [FCA CF] Material risk taker (1 Mar 2021 to 1 Nov 2021)
NatWest Markets Plc (no longer approved here)
FRN 121882
- CF30 Customer (13 Oct 2009 to 16 Sep 2011)

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.