James Alexander Douglas Gordon

Last updated
2 days ago
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Where they hold approval

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

  • Killik & Co LLP

    FRN 462016

    • 11. Pension transfer specialist
    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • [FCA CF] Manager of certification employee (since 11 Oct 2022)
    • [FCA CF] Functions requiring qualifications (since 1 May 2022)
    • [FCA CF] Client dealing (since 1 May 2022)
  • Rathbones Investment Management Limited (no longer approved here)

    FRN 116316

    • [FCA CF] Functions requiring qualifications (23 Jan 2020 to 24 Feb 2022)
  • TIMOTHY JAMES & PARTNERS LIMITED (no longer approved here)

    FRN 179854

    • [FCA CF] Functions requiring qualifications (9 Dec 2019 to 3 Jan 2020)
    • [FCA CF] Client dealing (9 Dec 2019 to 3 Jan 2020)
    • CF30 Customer (18 May 2018 to 8 Dec 2019)
  • Daniel O'Sullivan Wealth Management Ltd (no longer approved here)

    FRN 419528

    • Employed By (11 May 2016 to 31 Jan 2018)
  • St. James's Place Wealth Management Plc (no longer approved here)

    FRN 195351

    • CF30 Customer (16 Feb 2016 to 31 Jan 2018)

Recent activity

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

No changes recorded yet.