Vincent Pena

Watch for changes

Where they hold approval

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

Eastdil Secured International Ltd. (no longer approved here)
FRN 913366
- [FCA CF] Client dealing (17 Mar 2020 to 16 Feb 2024)
Wells Fargo Securities International Limited (no longer approved here)
FRN 186745
- CF30 Customer (2 Oct 2015 to 1 Oct 2019)
Chalkhill Partners LLP (no longer approved here)
FRN 499335
- CF30 Customer (15 Sep 2010 to 12 Oct 2011)
- CF4 Partner (15 Sep 2010 to 12 Oct 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.