James Alexander Charles Maltin

Last updated
2 weeks ago
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Where they hold approval

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

  • ICF Management Limited

    FRN 466915

    • 14. Managing investments
    • 16. Safeguarding and administering investments or holding client money
    • [FCA CF] Functions requiring qualifications (since 11 Aug 2021)
    • [FCA CF] Client dealing (since 11 Aug 2021)
  • RAYMOND JAMES INVESTMENT SERVICES LIMITED (no longer approved here)

    FRN 194713

    • [FCA CF] Client dealing (9 Dec 2019 to 7 Nov 2022)
    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 7 Nov 2022)
    • CF30 Customer (27 Jul 2017 to 8 Dec 2019)
  • Rathbones Investment Management Limited (no longer approved here)

    FRN 116316

    • CF30 Customer (1 Nov 2007 to 6 Mar 2016)
    • CF27 Investment Management (20 Sep 2006 to 31 Oct 2007)
    • CF21 Investment Adviser (20 Sep 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (24 Jan 2006 to 20 Sep 2006)

Recent activity

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

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