James Andrew Downing

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.

  • Finli (G&P) Ltd

    FRN 142752

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 7. Giving personal recommendations on long-term care insurance contracts
    • [FCA CF] Client dealing (since 9 Feb 2021)
    • [FCA CF] Functions requiring qualifications (since 9 Feb 2021)
    • [FCA CF] Material risk taker (9 Feb 2021 to 1 May 2025)
  • Gale and Phillipson Investment Services Ltd (no longer approved here)

    FRN 431387

    • [FCA CF] Client dealing (9 Feb 2022 to 5 Apr 2024)
    • [FCA CF] Functions requiring qualifications (9 Feb 2022 to 5 Apr 2024)
    • [FCA CF] Material risk taker (9 Feb 2022 to 5 Apr 2024)
  • Broadgate Wealth Client Servicing LLP (no longer approved here)

    FRN 815602

    • [FCA CF] Functions requiring qualifications (24 Nov 2020 to 2 Dec 2020)
    • CF30 Customer (24 Jul 2019 to 8 Dec 2019)

Recent activity

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

No changes recorded yet.