Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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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 14 Mar 2024)
- CF30 Customer (since 7 Feb 2024)
- CF1 Director (AR) (since 5 Aug 2015)
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- Director of firm who is not a certification employee or a SMF manager (9 Dec 2020 to 29 Apr 2021)
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- CF1 Director (AR) (10 May 2010 to 15 May 2011)
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- CF7 Sole Trader (AR) (1 Jun 2005 to 31 Jan 2007)
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- (8)Employed By (1 Dec 2001 to 31 Jan 2007)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.