Alexander James

Last updated
2 weeks ago
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Where they hold approval

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

  • Simpson Financial Services Ltd

    FRN 472031

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 11. Pension transfer specialist
    • [FCA CF] Functions requiring qualifications (since 9 Jan 2025)
    • [FCA CF] Client dealing (since 9 Jan 2025)
  • Pi Financial Ltd (no longer approved here)

    FRN 186419

    • Sole trader dealing with clients for which they require qualification (9 Dec 2019 to 23 Apr 2021)
    • [FCA CF] Client dealing (9 Dec 2019 to 23 Apr 2021)
    • CF30 Customer (19 Mar 2019 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.