James Carl

Date authorised
1 April 2013
Last scraped
3 weeks ago
Watch for changes

Addresses

The contact details this firm has registered with the FCA.

  • Principal Place of Business

    95 Mortimer Street
    London
    W1W 7ST
    London
    London
    W1W 7ST
    UNITED KINGDOM
    Phone
    +447717114374

  • Complaints Contact

    95 Mortimer Street
    -
    W1W 7ST
    London
    London
    W1W 7ST
    UNITED KINGDOM
    Phone
    +447717114374

What this firm is allowed to do

The regulated activities the FCA has granted this firm permission to carry out.

  • P2P Lending Advice

    For Commercial, Retail (Non-Investment Insurance)

  • Investment Advice (no pensions)

    For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

  • Mortgage Advice

    For Customer, Regulated mortgage contract

  • Authorised to Operate

    Show 1 limitation
    • · The firm can only agree to carry on the regulated activities specified in this Notice.

  • Arranges Investments

    For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

  • Mortgage Arranging

    For Customer, Regulated mortgage contract

  • Stockbroking

    For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

  • Investment Setup

    For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts

Approved individuals

Senior staff personally approved by the FCA to hold their roles here.

  • Anthony Paul Ancliff

    IRN APA01011

    • CF30 Customer (1 Nov 2007 to 21 Jun 2010)
    • CF21 Investment Adviser (28 Dec 2001 to 31 Oct 2007)
  • Carl William James

    IRN CWJ00003

    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
    • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
    • CF7 Sole Trader (1 Dec 2001 to 31 Jan 2007)
    • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Mar 2009)
    • CF11 Money Laundering Reporting (1 Dec 2001 to 8 Dec 2019)
    • CF10 Compliance Oversight (1 Dec 2001 to 8 Dec 2019)
  • Gregory Rees Brown

    IRN GRB00015

    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 12 Oct 2002)

Recent activity

Updates to this firm's record on the FCA register.

No changes recorded yet.