Ian James Files

Watch for changes

Where they hold approval

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

Lighthouse Advisory Services Limited (no longer approved here)
FRN 195199
- CF30 Customer (1 Mar 2012 to 9 Mar 2012)
Lighthouse Financial Advice Limited (no longer approved here)
FRN 225502
- (106)Employed By (1 Mar 2012 to 9 Mar 2012)
Frenkel Topping Limited (no longer approved here)
FRN 145186
- CF24 Pension Transfer Specialist (5 Oct 2006 to 31 Jul 2007)
- CF21 Investment Adviser (23 Mar 2005 to 31 Jul 2007)
Chase de Vere Independent Financial Advisers limited (no longer approved here)
FRN 137914
- CF21 Investment Adviser (20 Apr 2004 to 22 Feb 2005)

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.