William Frederick Braddock

Watch for changes

Where they hold approval

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

William Braddock LLP
FRN 834207
- 4. Giving personal recommendations on retail investment products which are not broker funds
- [FCA CF] Functions requiring qualifications (since 8 Nov 2020)
- [FCA CF] Client dealing (since 8 Nov 2020)
- SMF27 Partner (since 9 Dec 2019)
- SMF16 Compliance Oversight (9 Dec 2019 to 1 Apr 2026)
- SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 1 Apr 2026)
- Responsible for Insurance Distribution (2 May 2019 to 1 Apr 2026)
- CF10 Compliance Oversight (2 May 2019 to 8 Dec 2019)
- CF11 Money Laundering Reporting (2 May 2019 to 8 Dec 2019)
- CF30 Customer (2 May 2019 to 8 Dec 2019)
- CF4 Partner (2 May 2019 to 8 Dec 2019)
William Braddock (2799) (no longer approved here)
FRN 188303
- Employed By (30 Nov 1998 to 27 Apr 2004)

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.