James Alexander Franklin

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.

  • 2 Plan Wealth Management Limited

    FRN 461598

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • Appointed representative dealing with clients for which they require qualification (since 30 Jul 2025)
    • CF30 Customer (since 2 Jul 2025)
    • [FCA CF] Client dealing (10 Sep 2024 to 30 Jul 2025)
    • [FCA CF] Functions requiring qualifications (10 Sep 2024 to 30 Jul 2025)
  • Cornerstone Wealth Planning Limited

    FRN 1010387

    • Employed By (since 2 Jul 2025)
  • Fidelius Ltd (no longer approved here)

    FRN 188615

    • [FCA CF] Client dealing (26 Oct 2022 to 29 Jul 2024)
    • [FCA CF] Functions requiring qualifications (28 Sep 2021 to 29 Jul 2024)
  • QUILTER FINANCIAL SERVICES LIMITED (no longer approved here)

    FRN 440703

    • CF30 Customer (12 Jun 2019 to 1 Oct 2019)
  • Riverfall Financial Ltd (no longer approved here)

    FRN 625182

    • (11)Employed By (12 Jun 2019 to 1 Oct 2019)
  • Lloyds Bank PLC (no longer approved here)

    FRN 119278

    • CF30 Customer (2 Jun 2011 to 11 Nov 2012)
  • Aviva Administration Limited (no longer approved here)

    FRN 185746

    • CF30 Customer (31 Mar 2009 to 21 May 2010)
  • Bank of Scotland plc (no longer approved here)

    FRN 169628

    • CF30 Customer (16 Apr 2008 to 6 Mar 2009)
  • Clydesdale Bank Plc (no longer approved here)

    FRN 121873

    • CF30 Customer (1 Nov 2007 to 25 Mar 2008)
    • CF21 Investment Adviser (30 May 2006 to 31 Oct 2007)
    • CF22 Investment Adviser (Trainee) (15 Aug 2005 to 30 May 2006)

Recent activity

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

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