Darren Jeremy Nathan

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.

  • Waverley Court Consulting Ltd

    FRN 624087

    • 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] Functions requiring qualifications (since 2 Oct 2020)
    • [FCA CF] Client dealing (since 2 Oct 2020)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • Responsible for Insurance Distribution (since 1 Oct 2018)
    • CF1 Director (11 Aug 2014 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (11 Aug 2014 to 8 Dec 2019)
    • CF10 Compliance Oversight (11 Aug 2014 to 8 Dec 2019)
    • Responsible for Insurance Mediation (11 Aug 2014 to 30 Sep 2018)
    • CF30 Customer (11 Aug 2014 to 8 Dec 2019)
  • Julian Harris Financial Consultants (no longer approved here)

    FRN 153566

    • CF1 Director (AR) (3 Jul 2012 to 8 Aug 2014)
    • CF30 Customer (3 Jul 2012 to 8 Aug 2014)
  • Jewell & Petersen Ltd (no longer approved here)

    FRN 402532

    • CF30 Customer (1 Nov 2007 to 7 Sep 2012)
    • CF21 Investment Adviser (26 Jun 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (2 Jun 2005 to 26 Jun 2006)
  • ST. JAMES'S PLACE UNIT TRUST GROUP LIMITED (no longer approved here)

    FRN 122472

    • CF21 Investment Adviser (12 Sep 2002 to 3 Jun 2003)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 12 Sep 2002)
  • ST. JAMES'S PLACE UK PLC (no longer approved here)

    FRN 150026

    • CF21 Investment Adviser (12 Sep 2002 to 3 Jun 2003)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 12 Sep 2002)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF21 Investment Adviser (12 Sep 2002 to 16 Mar 2005)
    • CF22 Investment Adviser (Trainee) (1 Dec 2001 to 12 Sep 2002)

Recent activity

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

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