ARPIT SHAH

Watch for changes

Where they hold approval

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

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 9 Dec 2019)
- CF1 Director (AR) (since 21 Jul 2016)
- CF30 Customer (since 21 Jul 2016)
White Lotus Wealth Limited
FRN 752652
- Employed By (since 21 Jul 2016)
AFH Independent Financial Services Limited (no longer approved here)
FRN 216704
- CF30 Customer (4 Mar 2015 to 5 Aug 2016)
NatWest Markets Plc (no longer approved here)
FRN 121882
- CF30 Customer (28 Jul 2010 to 13 Jun 2014)
Bank of Scotland plc (no longer approved here)
FRN 169628
- CF30 Customer (1 Nov 2007 to 17 Jun 2010)
- CF21 Investment Adviser (17 Sep 2007 to 31 Oct 2007)

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.