James Alan Mousley

Last updated
5 days ago
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Where they hold approval

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

  • Pyrford Financial Planning Limited

    FRN 985418

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • 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 15 May 2023)
    • Responsible for Insurance Distribution (since 15 May 2023)
    • SMF16 Compliance Oversight (since 15 May 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 15 May 2023)
    • SMF3 Executive Director (since 15 May 2023)
    • [FCA CF] Client dealing (since 15 May 2023)
  • O'Sullivan Financial Planning Ltd (no longer approved here)

    FRN 951030

    • [FCA CF] Client dealing (14 Nov 2022 to 10 Nov 2023)
    • [FCA CF] Functions requiring qualifications (14 Nov 2022 to 10 Nov 2023)
  • Paradigm Norton Financial Planning Ltd (no longer approved here)

    FRN 455083

    • [FCA CF] Client dealing (9 Dec 2019 to 27 Apr 2020)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 27 Apr 2020)
    • CF30 Customer (18 Sep 2018 to 8 Dec 2019)
  • CAPITAL ASSET MANAGEMENT (FINANCIAL PLANNING) LIMITED (no longer approved here)

    FRN 225112

    • CF30 Customer (7 Mar 2018 to 20 Aug 2018)
  • Isio Wealth Planning Limited (no longer approved here)

    FRN 460880

    • CF30 Customer (2 May 2014 to 14 Dec 2017)

Recent activity

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

No changes recorded yet.