Desmond Alexis James

Last updated
1 week ago
Watch for changes

Where they hold approval

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

  • THE ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY

    FRN 114724

    • 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 7 Feb 2024)
  • Coutts & Company

    FRN 122287

    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 7 Feb 2024)
  • HSBC UK Bank Plc (no longer approved here)

    FRN 765112

    • [FCA CF] Manager of certification employee (1 Jul 2018 to 31 May 2023)
  • HSBC Bank Plc (no longer approved here)

    FRN 114216

    • [FCA CF] Manager of certification employee (4 Jul 2016 to 1 Jul 2018)
    • CF30 Customer (1 Nov 2007 to 15 Dec 2007)
    • CF21 Investment Adviser (26 Jun 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (16 Jan 2006 to 26 Jun 2006)

Recent activity

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

No changes recorded yet.