David Graham Chester James

Last updated
1 day ago
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Where they hold approval

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

  • Scottish Widows Schroder Personal Wealth Limited

    FRN 830170

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Client dealing (since 4 Sep 2023)
    • [FCA CF] Functions requiring qualifications (since 4 Sep 2023)
    • [FCA CF] Client dealing (3 Jul 2020 to 15 Jul 2022)
    • [FCA CF] Functions requiring qualifications (3 Jul 2020 to 15 Jul 2022)
  • FIL Wealth Management Limited (no longer approved here)

    FRN 464968

    • [FCA CF] Client dealing (14 Dec 2022 to 29 May 2023)
    • [FCA CF] Functions requiring qualifications (14 Dec 2022 to 29 May 2023)
  • Openwork Limited (no longer approved here)

    FRN 408285

    • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 21 Jan 2020)
    • CF30 Customer (16 Aug 2019 to 21 Jan 2020)
  • Bull Ferguson Limited (no longer approved here)

    FRN 530568

    • Employed By (16 Aug 2019 to 21 Jan 2020)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (26 Oct 2018 to 30 Aug 2019)
  • David James (no longer approved here)

    FRN 823947

    • Employed By (26 Oct 2018 to 21 Jan 2020)
  • Santander UK Plc (no longer approved here)

    FRN 106054

    • [FCA CF] Functions requiring qualifications (20 Mar 2018 to 13 Dec 2018)

Recent activity

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

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