Alan James

Watch for changes

Where they hold approval

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

Lighthouse Advisory Services Limited (no longer approved here)
FRN 195199
- Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 12 Jan 2024)
- CF30 Customer (12 Apr 2012 to 12 Jan 2024)
Lighthouse Financial Advice Limited (no longer approved here)
FRN 225502
- (380)Employed By (12 Apr 2012 to 12 Jan 2024)
RLUM Limited (no longer approved here)
FRN 144032
- CF30 Customer (6 Dec 2010 to 29 Oct 2011)
- CF21 Investment Adviser (1 Dec 2001 to 2 Mar 2007)
St. James's Place Wealth Management Plc (no longer approved here)
FRN 195351
- CF30 Customer (27 Jan 2010 to 8 Nov 2010)
Orwell Financial Solutions Ltd (no longer approved here)
FRN 220264
- (9)Employed By (27 Jan 2010 to 8 Nov 2010)

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.