Diane O'Connor

Last updated
3 weeks ago
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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
    • [FCA CF] Client dealing (since 5 Dec 2023)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • [FCA CF] Manager of certification employee (16 Jul 2021 to 2 Jun 2025)
    • CF30 Customer (13 Mar 2019 to 8 Dec 2019)
  • Evelyn Partners Securities (no longer approved here)

    FRN 124255

    • CF30 Customer (1 Nov 2007 to 16 Feb 2009)
    • CF26 Customer Trading (4 Mar 2005 to 31 Oct 2007)

Recent activity

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

No changes recorded yet.