Alison Sheelagh 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.

  • Succession Financial Management Limited

    FRN 225831

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • [FCA CF] Client dealing (since 4 Sep 2023)
    • [FCA CF] Functions requiring qualifications (since 4 Sep 2023)
  • SUCCESSION WEALTH MANAGEMENT LIMITED

    FRN 588378

    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 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)
    • [FCA CF] Functions requiring qualifications (since 4 Sep 2023)
    • [FCA CF] Client dealing (since 4 Sep 2023)
  • Russell Gibson Financial Management Limited (no longer approved here)

    FRN 533522

    • [FCA CF] Client dealing (19 Nov 2020 to 30 Sep 2021)
    • Appointed representative dealing with clients for which they require qualification (19 Nov 2020 to 30 Sep 2021)
    • [FCA CF] Functions requiring qualifications (19 Nov 2020 to 30 Sep 2021)
    • CF30 Customer (16 May 2018 to 30 Sep 2021)
  • Fairstone Wealth Management Limited (no longer approved here)

    FRN 188596

    • CF1 Director (15 Feb 2017 to 6 Apr 2018)
  • Fairstone Financial Management Limited (no longer approved here)

    FRN 475973

    • CF1 Director (15 Feb 2017 to 6 Apr 2018)
    • CF30 Customer (11 Jul 2013 to 13 Jul 2018)

Recent activity

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

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