James Alexander Gardner

Last updated
3 weeks ago
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Where they hold approval

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

  • R C Brown Investment Management Plc

    FRN 146002

    • 14. Managing investments
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Functions requiring qualifications (since 31 Mar 2021)
    • [FCA CF] Client dealing (since 31 Mar 2021)
    • CF30 Customer (13 Feb 2014 to 8 Dec 2019)
  • ST. JAMES'S PLACE INVESTMENT MANAGEMENT LIMITED (no longer approved here)

    FRN 155241

    • CF30 Customer (28 Apr 2008 to 11 Feb 2014)

Recent activity

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

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