James Albert Keen

Last updated
1 week ago
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Where they hold approval

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

  • Affinity Financial Awareness Limited

    FRN 409160

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 6 Dec 2021)
  • Wealth At Work Limited

    FRN 417367

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Functions requiring qualifications (since 6 Dec 2021)
  • Scottish Widows Schroder Personal Wealth Limited (no longer approved here)

    FRN 830170

    • [FCA CF] Functions requiring qualifications (15 May 2020 to 8 Nov 2021)
    • [FCA CF] Client dealing (15 May 2020 to 8 Nov 2021)
    • CF30 Customer (12 Jun 2019 to 8 Dec 2019)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (20 Dec 2007 to 6 Mar 2016)

Recent activity

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

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